Kathy Lynn Lum

Employer firm

Cetera Planning Partners CRD 129625

$4.16B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Periodicals / newsletters
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2005 → 12/2023
  Lee Financial Securities, Inc.
  Honolulu, HI
• 02/2005 → 05/2024
  Lee Financial Group Hawaii, Inc.
  Honolulu, HI
• 02/2005 → 12/2023
  Lee Financial Recordkeeping, Inc.
  Honolulu, HI
• 05/2024 → Present
  Cetera Planning Partners
  Leawood, KS

Previous Registrations

• 2005-02-28 → 2024-05-29
  Lee Financial Group Hawaii, Inc.
  Honolulu, HI
• 1999-12-01 → 2005-01-06
  Charles Schwab & Co., Inc.
  Honolulu, HI

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-03-30
• S63 Uniform Securities Agent State Law Examination
  1989-02-08

Other Names

• Kathy Lynn Kinney
• Kathy Lum
• Kathy Lynn Lum