Clayton L. Shumway
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.
Clayton Lucero Shumway was a registered financial professional .
Clayton is a previously registered financial professional and started their career in finance in 2000. Clayton had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2021 - October 27, 2025
APOLLO GLOBAL SECURITIES, LLC
November 8, 2016 - October 1, 2019
CVC FUNDING, LLC
June 4, 2010 - May 16, 2013
NEXBANK SECURITIES INC
May 11, 2010 - June 5, 2013
HIGHLAND CAPITAL MANAGEMENT, L.P.
October 20, 2006 - July 24, 2007
J.P. MORGAN SECURITIES INC.
September 16, 2005 - September 11, 2006
ROBERT W. BAIRD & CO. INCORPORATED
January 28, 2002 - February 28, 2003
GOLDMAN SACHS & CO. LLC
November 2, 2000 - January 2, 2002
WELLS FARGO INVESTMENTS, LLC
October 13, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 12, 2000 - November 2, 2001
WELLS FARGO SECURITIES INC.
March 22, 2000 - October 10, 2000
IDS LIFE INSURANCE COMPANY
March 22, 2000 - October 10, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO MANAGEMENT HOLDINGS, L.P. | MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
Red Flags
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