Articles Tagged with Matthew Lum

Matthew Lum
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 2, 2018 indicate that Texas-based Cetera Advisor Networks broker/adviser Matthew Lum has been involved in several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lum (CRD# 1622477).

Matthew Lum has spent 30 years in the securities industry and has been registered with Cetera Advisor Networks in Corpus Christi, Texas and Santa Barbara, California since November 2017. Previous registrations include Girard Securities Santa Barbara, California (2004-2017); Sentra Securities Corporation in Phoenix, Arizona (2001-2004); SII Investments in Appleton, Wisconsin (1997-2001); FSC Securities Corporation in Atlanta, Georgia (1995-1997); Corporate Benefit Securities in Mission Viejo, California (1990-1995); First Affiliated Securities in La Jolla, California (1989-1990); PFG Securities (1988-1989); and Washington National Equity Company (1987-1988). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 2, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 23, 1998; Series 7 (General Securities Representative Examination), which he obtained on November 19, 1988; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 18, 1987; and Series 24 (General Securities Principal Examination), which he obtained on July 8, 2004. He is a registered broker and investment adviser with eleven US states: Arizona, California, Colorado, Florida, Hawaii, New York, Texas, Utah, Virginia, Washington, and Wyoming.

According to his BrokerCheck report, he has received four customer complaints.