Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Clayton? Claim Your ProfileClayton Lucero Shumway is a financial professional with over 10 years of experience in the securities industry. Clayton is currently registered with Apollo Global Securities, LLC in New York, NY. Previously, Clayton was employed by CVC Funding, LLC, NexBank Securities Inc, J.P. Morgan Securities Inc, Robert W. Baird & Co. Incorporated, Goldman, Sachs & Co, Wells Fargo Investments, LLC, Wells Fargo Securities Inc, Wells Fargo Brokerage Services, L.L.C, American Express Financial Advisors Inc and IDS Life Insurance Company. Clayton holds the Series 7, Series 63, Series 24 and Series 65 licenses and has passed the SIE exam.
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.
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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2
NY
09/09/2021 - Present
Apollo Global Securities, LLC (NEW YORK NY)
NY
11/08/2016 - 10/01/2019
CVC FUNDING, LLC (NEW YORK NY)
NY
06/04/2010 - 05/16/2013
NEXBANK SECURITIES INC (NEW YORK NY)
NY
10/20/2006 - 07/24/2007
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
WI
09/16/2005 - 09/11/2006
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NY
01/28/2002 - 02/28/2003
GOLDMAN, SACHS & CO. (NEW YORK NY)
CA
11/02/2000 - 01/02/2002
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
10/12/2000 - 11/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MN
10/13/2000 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
MN
03/22/2000 - 10/10/2000
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
03/22/2000 - 10/10/2000
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 12/20/2016
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/10/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/16/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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