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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theodore? Claim Your ProfileTheodore Lum is a financial advisor with over 40 years of experience in the industry. Theodore is currently registered with Independent Financial Group, LLC and is licensed to provide advisory services in 10 states. Theodore's previous experience includes working with LPL Financial LLC, Securities America, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Walnut Street Securities, Inc., and The Prudential Insurance Company of America. Theodore holds the Series 6, 7, 26, 63, and 65 licenses, as well as the SIE designation and is a Chartered Financial Consultant. Theodore's area of expertise includes financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors. Theodore works with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
08/06/2018 - Present
Independent Financial Group, LLC (SAN RAMON CA)
CA
08/15/2011 - 08/09/2018
LPL FINANCIAL LLC (WALNUT CREEK CA)
CA
03/16/2009 - 08/19/2011
SECURITIES AMERICA, INC. (SAN RAMON CA)
CA
08/16/2000 - 02/02/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WALNUT CREEK CA)
CA
11/04/1999 - 09/11/2000
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NJ
02/21/1982 - 04/26/1999
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
12/18/1981 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 10/21/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/21/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/01/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1997
Series 7 - General Securities Representative Examination
BC
Issued 12/07/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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