Kapena Kaumualii Lum
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
11 yearsExperience
3 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
11 years in the industry.
- Bank of America, N.A.Feb 2023 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 2022 to now
- Morgan Stanley Private Bank, N.AOct 2015 to Nov 2022
- Morgan Stanley Private Bank, National AssociationOct 2015 to Nov 2022
- Morgan StanleySep 2015 to Nov 2022
Exams passed
- Series 63 · Uniform Securities Agent State Law2003
- Series 65 · Uniform Investment Adviser Law2003
State registrations
Registered as an investment adviser representative in 3 states (CA, HI, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4550438
- Firm CRD
- 7691