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Matthew Henry Lum

Citigroup Global Markets Inc.

San Francisco, CA

Millbrae, CA

San Francisco, CA

San Francisc, CA

San Mateo, CA

Los Angeles, CA

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Current Employers
Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-16
  • CA RA
    APPROVED
    Since 2025-05-16

Branch Locations

Cwm Retail, Sales 2400 19Th Ave, San Francisco, CA 94116 • United States

Cwm Retail, Sales 1000 Broadway, Millbrae, CA 94030 • United States

San Francisco, CA • United States

Cwm Retail, Sales, One Market Plaza, Fl 40, San Francisc, CA 94105 • United States

Cwm Retail, Sales 11 East Third Avenue, San Mateo, CA 94401 • United States

Citi Wealth Management, Sales 300 South Grand Avenue, Fl 31, Los Angeles, CA 90071 • 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
OrganizationCityStateFromTo
Hsbc Securities (Usa) Inc San Francisco CA 04/2013 05/2025
Hsbc Bank Usa, N.A. San Francisco CA 04/2013 05/2025
Citigroup Millbrae CA 05/2025 Present
  • 04/2013 → 05/2025
    Hsbc Securities (Usa) Inc
    San Francisco, CA
  • 04/2013 → 05/2025
    Hsbc Bank Usa, N.A.
    San Francisco, CA
  • 05/2025 → Present
    Citigroup
    Millbrae, CA
Previous Registrations
  • 2006-11-03 → 2025-06-26
    Hsbc Securities (Usa) Inc.
    San Francisco, CA
    San Mateo, CA
    Millbrae, CA
    Fremont, CA
    Oakland, CA
    Fremont, CA
    Millbrae, CA
    Milpitas, CA
    San Francisco, CA
    Oakland, CA
    San Francisco, CA
    Oakland, CA
    San Francisco, CA
    Millbrae, CA
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-18
  • S66 Uniform Combined State Law Examination
    2006-02-18
Other Names
  • Matthew H Lum
  • Matthew Henry Lum
  • Matthew Lum

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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