Theodore Lum, financial advisor San Ramon CA

Theodore Lum

CRD Number: 1016779
Current Firm: Independent Financial Group, LLC

Theodore Lum (CRD# 1016779) is an Investment Advisor Representative working at Independent Financial Group, LLC in San Ramon, CA and has over 34 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Independent Financial Group Walnut Creek, CA Aug 2018 - Current 5
Lpl Financial, LLC Walnut Creek, CA Aug 2011 - Aug 2018 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1989
S65 NASAA Investment Advisors Law Examination Oct 1997
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Theodore Lum
Phone Number: 858-436-3180
Firm Website: https://www.ifgsd.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    5,978
    MILLIONS
  • Total Number of Accounts
    27,435
    ACCOUNTS
  • Average Account Value
    $217,900
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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