Danny Shum
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Danny Shum, who also goes by Dan Shum, was a registered financial professional .
Danny is a previously registered financial professional and started their career in finance in 1997. Danny had worked at 4 firms and has passed the Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2010 - November 18, 2014
SHUM INVESTMENT GROUP, LLC
May 8, 1999 - June 15, 2001
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
August 12, 1998 - August 14, 1998
GKN SECURITIES CORP.
November 26, 1997 - January 29, 1998
THE HAMILTON-SHEA GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SHUM INVESTMENT GROUP, LLC
CRD#: 155449 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
