Brian Lum

Current Employers

Employment History

• 06/2009 → Present
  Morgan Stanley Smith Barney
  Boca Raton, FL
• 01/2015 → Present
  Morgan Stanley Private Bank, National Association
  New York, NY

Previous Registrations

• 2008-01-14 → 2009-06-01
  Citigroup Global Markets Inc.
  Delray Beach, FL
  Boca Raton, FL
  Boca Raton, FL
• 2006-04-17 → 2007-10-24
  Colonial Asset Management Inc
  Coconut Creek, FL
  Montgomery, AL
• 2000-10-01 → 2006-03-13
  Wells Fargo Clearing Services, Llc
  Boca Raton, FL

Other Businesses

*524003 - PlatinumLED Therapy Lights; Investment related: No; Mira Loma, California; Hospital/Healthcare; affiliate marketing (proprietor, partner, officer, director, employee, trustee, agent); 10/2022; During business hours: 0; After business hours: 1; Sales/Marketing *607130 - Moment Pickleball; Investment related: No; Boulder, Colorado; Recreation:Retail/Online Stores; ambassador(proprietor, partner, officer, director, employee, trustee, agent); 9/2024; During business hours: 0; After business hours: 1; Sales/Marketing *659955- Piurify; Investment related: No; Wilmington, Delaware; Retail/Online Stores; simply an affiliate that has the ability to offer the product (proprietor, partner, officer, director, employee, trustee, agent); 09/2025; During business hours: 0; After business hours: 1 Sales/Marketing *661145- Honey Stinger; Investment related: No; Steamboat Springs, Colorado; Retail/Online Stores;Brand Ambassador (proprietor, partner, officer, director, employee, trustee, agent); 09/2025; During business hours: 0; After business hours: 1; Solely as an ambassador

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-03-23
• S63 Uniform Securities Agent State Law Examination
  1998-12-03