Jim A. Lund
Professional summary
Jim Andrew Lund, CFP®, who also goes by Jim Lund, is a registered financial professional currently at CABOT LODGE SECURITIES LLC located in San Marino, California.
Jim is registered as a RR (Registered Representative) and started their career in finance in 1995. Jim has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jim Andrew Lund's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2004
Experience
November 3, 2015 - Present
CABOT LODGE SECURITIES LLC
Office #1: 2596 Mission St. Suite 200, San Marino, CA 91108August 10, 2011 - November 11, 2015
CONCORDE INVESTMENT SERVICES, LLC
February 13, 2007 - August 10, 2011
CAPWEST SECURITIES, INC.
February 12, 2007 - August 10, 2011
CAPWEST SECURITIES, INC.
January 23, 2006 - February 12, 2007
UNITED SECURITIES ALLIANCE, INC.
January 23, 2006 - February 12, 2007
UNITED SECURITIES ALLIANCE, INC.
June 21, 1999 - December 31, 2002
EASTERN POINT ADVISORS INC.
March 25, 1997 - December 9, 2005
INVESTORS CAPITAL CORP.
May 13, 1996 - February 10, 1997
FSC SECURITIES CORPORATION
November 20, 1995 - May 8, 1996
LAGUNA SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/3/2015)
(1/22/2018)
(2/13/2023)
(11/30/2023)
(2/6/2025)
(10/2/2017)
(2/26/2019)
(12/6/2019)
(1/13/2022)
(9/4/2020)
(6/27/2024)
Exams
FINRA
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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