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Christopher Puiwah Shum

Nylife Securities LLC

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About Christopher Puiwah Shum

Christopher Shum is a financial professional with over 20 years of experience in the industry. Christopher is currently registered with Nylife Securities LLC in New York, NY. Prior to joining Nylife Securities LLC, Christopher worked at Ameritas Investment Corp. and Metlife Securities Inc. Christopher holds a variety of licenses and certifications, including the Series 6, 7, 24, 26, and 63. Christopher is committed to providing clients with personalized financial advice and guidance to help them achieve their financial goals.

Firm Information

Christopher Shum is currently registered with Nylife Securities LLC. Nylife Securities LLC is a Limited Liability Company formed in 2007, registered in 51 states and the SEC. The firm has been involved in 13 regulatory events and 7 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

4,464

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Christopher Shum’s Registration & Firm History

NY

08/14/2014 - Present

Nylife Securities LLC (NEW YORK NY)

NY

11/09/2011 - 06/18/2014

AMERITAS INVESTMENT CORP. (GREAT NECK NY)

NY

02/02/2010 - 04/22/2010

NYLIFE SECURITIES LLC (FLUSHING NY)

NY

03/16/2009 - 06/17/2009

AMERITAS INVESTMENT CORP. (LITTLE NECK NY)

NJ

02/20/1998 - 04/17/2007

METLIFE SECURITIES INC. (EDISON NJ)

NJ

02/20/1998 - 04/17/2007

METROPOLITAN LIFE INSURANCE COMPANY (EDISON NJ)

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Licenses & Designations

BC

Issued 02/24/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/13/2005

Series 24 - General Securities Principal Examination

BC

Issued 11/22/2002

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/25/2000

Series 7 - General Securities Representative Examination

BC

Issued 02/06/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Christopher Puiwah Shum.
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