Theodore Lum

Employer firm

Independent Financial Group, LLC CRD 7717

$12.9B regulatory AUM 301 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 08/2011 → 08/2018
  Lpl Financial, Llc
  Walnut Creek, CA
• 08/2018 → Present
  Independent Financial Group
  Walnut Creek, CA

Previous Registrations

• 2011-08-15 → 2018-08-09
  Lpl Financial Llc
  Walnut Creek, CA
  Sacramento, CA
  Walnut Creek, CA
  Walnut Creek, CA
• 2009-03-16 → 2011-08-19
  Securities America Advisors, Inc.
  Walnut Creek, CA
• 2001-01-25 → 2009-02-02
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Walnut Creek, CA
  Walnut Creek, CA

Other Businesses

(1) INSURANCE AGENT POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 10 START DATE: 10/16/1972 DESCRIPTION: INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) LUM GLOBAL FINANCIAL & INSURANCE SERVICES POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 01/04/2011 DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES (3) RENTAL PROPERTY POSITION: Property owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1980 DESCRIPTION: 50% OWNER OF REAL ESTATE RENTALS

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-10-21
• S63 Uniform Securities Agent State Law Examination
  1989-09-21

Designations

• Chartered Financial Consultant

Other Names

• Ted Lum