THEODORE LUM is an investment adviser representative (IAR) with state registration records since 2001, appearing at 4 firms. Currently registered with INDEPENDENT FINANCIAL GROUP, LLC.
| Firm | From | To | Current |
|---|---|---|---|
| INDEPENDENT FINANCIAL GROUP, LLC | 2018-08-06 | present | Yes |
| LPL FINANCIAL LLC | 2011-08-15 | 2018-08-09 | — |
| SECURITIES AMERICA ADVISORS, INC. | 2009-03-16 | 2011-08-19 | — |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2001-01-25 | 2009-02-02 | — |