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Clayton K Shum

Aegis Capital Corp.

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About Clayton K Shum

Clayton Shum is a financial advisor currently registered with Aegis Capital Corp. He is based in Burlingame, California. Clayton has over 20 years of experience in the financial services industry. He is a Certified Financial Planner (CFP) and holds Series 6, 7, 63, and 66 licenses. Prior to joining Aegis Capital Corp. Clayton was a financial advisor at Grove Point Investments, LLC and USA Financial Securities Corporation. Clayton specializes in providing financial planning and investment management services to individuals, corporations and businesses, and pooled investment vehicles.

Firm Information

Clayton Shum is currently registered with Aegis Capital Corp.. Aegis Capital Corp. is a corporation formed in 1984 and headquartered in New York, NY. The firm provides financial planning, portfolio management for individuals, businesses, and pooled investment vehicles. Aegis Capital Corp. is registered with the SEC and in 53 states. The firm has over 257 registered representatives and manages approximately $1.28 billion in assets.
Aegis Capital Corp.

1345 AVENUE OF THE AMERICAS

NEW YORK, NY 10105

$1.28B

Assets Under Management

Not reported

Total Clients

156

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Clayton Shum’s Registration & Firm History

CA

02/13/2023 - Present

Aegis Capital Corp. (BURLINGAME CA)

CA

12/01/2020 - 01/12/2023

GROVE POINT INVESTMENTS, LLC (Burlingame CA)

CA

09/24/2009 - 12/01/2020

USA FINANCIAL SECURITIES CORPORATION (BURLINGAME CA)

CA

06/29/2004 - 04/06/2006

FIRST MIDWEST SECURITIES, INC. (SAN FRANCISCO CA)

NY

07/28/2003 - 05/10/2004

NYLIFE SECURITIES INC. (NEW YORK NY)

WI

05/15/2002 - 07/16/2003

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 12/01/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/02/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/09/2009

Series 7 - General Securities Representative Examination

BC

Issued 03/02/2002

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Clayton K Shum. Review regulatory record here.
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