Clayton K Shum

Current Employers

Aegis Capital Corp.

1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-02-13

CA RA
APPROVED

Since 2023-02-13

Branch Locations

Burlingame, CA • United States

1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Usa Financial Securities	Ada	MI	08/2009	12/2020
Clayton K Shum Cfp	Burlingame	CA	06/2004	Present
Eh Shum Financial Solutions	Burlingame	CA	06/2008	Present
Grove Point Investments, Llc	Rockville	MD	12/2020	Present
Grove Point Advisors, Llc	Rockville	MD	04/2021	Present

08/2009 → 12/2020

Usa Financial Securities

Ada, MI
06/2004 → Present

Clayton K Shum Cfp

Burlingame, CA
06/2008 → Present

Eh Shum Financial Solutions

Burlingame, CA
12/2020 → Present

Grove Point Investments, Llc

Rockville, MD
04/2021 → Present

Grove Point Advisors, Llc

Rockville, MD

Previous Registrations

2021-04-01 → 2023-01-12

Grove Point Advisors, Llc

Rockville, MD

Rockville, MD

Burlingame, CA
2020-12-01 → 2021-04-01

Grove Point Investments, Llc

Burlingame, CA
2009-12-09 → 2020-12-01

Usa Financial Securities Llc

San Francisco, CA

Burlingame, CA

Burlingame, CA

Ada, MI

Ada, MI

Pleasanton, CA

San Jose, CA

Other Businesses

CLAYTON K SHUM, CFP - NOTARY POSITION: Owner NATURE: Other OBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2010 ADDRESS: 433 Airport Blvd., Suite 500, Burlingame CA 94010, United States DESCRIPTION: Notary license for convenience of business. No compensation. 333 SAN JOSE AVE. MILLBRAE, CA 94030 POSITION: owner NATURE: Other OBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2018 ADDRESS: 433 Airport Blvd., Suite 500, Burlingame CA 94010, United States DESCRIPTION: Personal rental property ACC Agency Inc., 1305 Walt Whitman Rd. #120 Melville, NY 11747; Investment related; General insurance agency; Agent/Producer; Start date: 09-07-2023; 5-10 hours per month devoted to business; 5-10 hours during securities trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-12-01
S63	Uniform Securities Agent State Law Examination	2009-11-02

S66 Uniform Combined State Law Examination

2009-12-01
S63 Uniform Securities Agent State Law Examination

2009-11-02

Designations

Other Names

Clayton K. Shum
Clayton Kwok Shum

View on SEC IAPD