Best Investors Account Sign in
Inactive

Stephanie Fisher

Shum Financial Group, Inc.

Alameda, CA

Claim This Profile
Current Employers
Shum Financial Group, Inc.

2205 Harbor Bay Parkway, Alameda, CA 94502 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-09-15
TX RA APPROVED 2023-09-15
  • CA RA
    APPROVED
    Since 2023-09-15
  • TX RA
    APPROVED
    Since 2023-09-15

Branch Locations

2205 Harbor Bay Parkway, Alameda, CA 94502 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Shum Financial Group, Inc. Alameda CA 09/2023 Present
Shum Financial Group, Inc. Alameda CA 12/2019 Present
Jack Brain & Associates Castro Valley CA 08/2004 11/2019
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-09-01
  • S65 Uniform Investment Adviser Law Examination
    2023-09-01

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LPL FINANCIAL LLC
EDWARD JONES
U.S. BANCORP ADVISORS, LLC
OSAIC WEALTH, INC.
KEVIN KENNEDY, LLC

Other Investors

LIEN LAY
JIMIN CHEN
Askar Habybayli
Zachary R Ginsburg
Todd J. Evans
BITALS MAHARJAN
JAZMIN ERENDIRA SORIANO
Man Shing Kevin Wong

Other Offices

J.P. MORGAN SECURITIES LLC · ALAMEDA, CA
WELLS FARGO CLEARING SERVICES, LLC · ALAMEDA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ALAMEDA, CA
LPL FINANCIAL LLC · ALAMEDA, CA
EDWARD JONES · ALAMEDA, CA
EDWARD JONES · ALAMEDA, CA
EDWARD JONES · ALAMEDA, CA
U.S. BANCORP ADVISORS, LLC · Alameda, CA

More in Alameda, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor