Cliff W. Shum

SHUM FINANCIAL GROUP

Alameda, CA 94501

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CRD#: 2973780

Professional summary

Cliff Wingyin Shum, CFP® is a registered financial advisor currently at SHUM FINANCIAL GROUP, INC. located in Alameda, California.

Cliff is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Cliff has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.CLIFF SHUM, SOLE PROPRIETOR; INVESTMENT RELATED; ALAMEDA, CA; INSURANCE AGENT; 07/2013; 8 HOUR/MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cliff Wingyin Shum's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

January 4, 2017 - Present

SHUM FINANCIAL GROUP, INC.

Office #1: 1402 Park Street, Suite E, Alameda, CA 94501

RIA

CRD#: 285426

Alameda, CA

Past

July 19, 2013 - April 11, 2017

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

ALAMEDA, CA

Past

June 28, 2013 - April 11, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

ALAMEDA, CA

Past

January 19, 2007 - June 17, 2013

EDWARD JONES

RIA

CRD#: 250

ALAMEDA, CA

Past

January 19, 2007 - June 17, 2013

EDWARD JONES

CRD#: 250

ALAMEDA, CA

Past

April 12, 2005 - January 12, 2007

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

November 1, 2002 - March 30, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

December 30, 1998 - November 18, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LONG BEACH, CA

Past

April 9, 1998 - November 18, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 9, 1998 - November 18, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHUM FINANCIAL GROUP, INC.

CRD#: 285426 / SEC#: 801-110554

RIA

Registered Investment Advisory firm - (5/31/2017 Approved)

California

Registered Investment Advisory firm - (6/30/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/4/2017)

IAR

Texas
(9/25/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/21/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/8/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/12/2014

General Securities Principal Examination

Principal/Supervisory Exam

Series 9

Date: 8/11/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/13/2003

General Securities Sales Supervisor - General Module Examination

Current Firm

SHUM FINANCIAL GROUP, INC.

CRD#: 285426 / SEC#: 801-110554

RIA

Registered Investment Advisory firm - (5/31/2017 Approved)

California

Registered Investment Advisory firm - (6/30/2017 Terminated)

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Contact information

Main Address

1402 Park Street, Suite E, Alameda, CA 94501

Mailing Address

Phone number

(510) 748-7462

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & 2B (2/12/2025)

Regulatory assets under management

Total Number of Accounts	977
AUM (Assets Under Management)	$ 287,130,475

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.

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Firm Stability Insights

Cliff W. Shum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cliff Wingyin Shum's CRS (Customer Relationship Summary).

Certified licenses

Experience

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

EDWARD JONES

EDWARD JONES

CETERA WEALTH SERVICES, LLC

EDWARD JONES

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SHUM FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/1998

Series 63

Date: 4/17/1998

SIE

Date: 4/11/2017

Series 7

Date: 4/8/1998

Series 24

Date: 9/12/2014

Series 9

Date: 8/11/2005

Series 10

Date: 1/13/2003

Current Firm

SHUM FINANCIAL GROUP, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHUM FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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