Clayton K Shum
Investment adviser representative at Aegis Capital Corp.
22 yearsExperience
1 stateRegistered in
CFP® certificationDesignation
$1.8BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourly
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
Experience
22 years in the industry.
- Aegis Capital Corp.Feb 2023 to now
- Grove Point Advisors, LLCApr 2021 to now
- Grove Point Investments, LLCDec 2020 to now
- Eh Shum Financial SolutionsJun 2008 to now
- Clayton K Shum CfpJun 2004 to now
- USA Financial SecuritiesAug 2009 to Dec 2020
Designations
- CFP® certification
Exams passed
- Series 63 · Uniform Securities Agent State Law2009
- Series 66 · Uniform Combined State Law2009
State registrations
Registered as an investment adviser representative in 1 state (CA).
Aegis Capital Corp.
$1.8BAssets managed
3,083Clients
97Advisers
16 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
- 4412927
- Firm CRD
- 15007