Inactive

Kathy Lynn Lum

Cetera Planning Partners

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Current Employers

Cetera Planning Partners

11460 Tomahawk Creek Pkwy Suite 400, Leawood, KS 66211 • United States

Current Registrations

Authority	Category	Status	Date
HI	RA	APPROVED	2024-05-28
KS	RA	APPROVED	2024-05-28
TX	RA	APPROVED	2024-05-28

HI RA
APPROVED

Since 2024-05-28
KS RA
APPROVED

Since 2024-05-28
TX RA
APPROVED

Since 2024-05-28

Branch Locations

3465 Waialae Avenue, Suite 370, Honolulu, HI 96816 • United States

11460 Tomahawk Creek Pkwy Suite 400, Leawood, KS 66211 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lee Financial Securities, Inc.	Honolulu	HI	02/2005	12/2023
Lee Financial Group Hawaii, Inc.	Honolulu	HI	02/2005	05/2024
Lee Financial Recordkeeping, Inc.	Honolulu	HI	02/2005	12/2023
Cetera Planning Partners	Leawood	KS	05/2024	Present

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

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

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

View on SEC IAPD

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