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KYLE LUM
KYLE K LUM, KYLE KK LUM, kyle lum
CRD#: 3232913
IA
B
OSAIC WEALTH, INC.CRD#: 23131 7560 W SAHARA AVE
SUITE 101
LAS VEGAS, NV 89117
SUITE 101
LAS VEGAS, NV 89117
0
Disclosures
18
Years of Experience
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State Registrations
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Arizona 4/5/2024
B
Kentucky 4/25/2024
B
California 4/5/2024
B
Nevada 4/5/2024
B
Florida 4/5/2024
IA
Nevada 4/5/2024
B
Hawaii 4/8/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 4/5/2024
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Registered with this firm since 4/5/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/10/2019 - 04/08/2024 | Las Vegas, NV | |
B | 03/19/2019 - 04/08/2024 | Las Vegas, NV | |
IA | 06/15/2018 - 12/03/2018 | LAS VEGAS, NV | |
B | 05/18/2018 - 11/30/2018 | LAS VEGAS, NV | |
IA | 10/06/2016 - 05/21/2018 | LAS VEGAS, NV | |
B | 04/11/2011 - 05/21/2018 | LAS VEGAS, NV | |
B | 05/07/2004 - 06/09/2009 | DULUTH, GA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.