Unclaimed Profile

Cliff Wingyin Shum

SHUM FINANCIAL GROUP, INC.·ALAMEDA, California

SIE, Series 7, Series 9, Series 10, Series 24, Series 63, Series 65CFP27 years registeredSHUM FINANCIAL GROUP, INC.

1402 PARK STREET, SUITE E, ALAMEDA, CA 94501CRD# 2973780Firm CRD# 285426

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Cliff Wingyin Shum · ALAMEDA, CA

Registration

CRD #2973780 · SHUM FINANCIAL GROUP, INC. · 27 years registered

Brand Profile

Not yet started

Career History

SHUM FINANCIAL GROUP, INC.

Jan 2017 – present

GIRARD SECURITIES, INC.

Jul 2013 – Apr 2017

ALAMEDA, CA

EDWARD JONES

Jan 2007 – Jun 2013

ALAMEDA, CA

AMERICAN EXPRESS FINANCIAL ADVISORS, INC.

Dec 1998 – Nov 2002

LONG BEACH, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 24

Series 63

Series 65

Registration record

First registered · December 30, 1998

Years registered · 27

Professional designation · CFP

Disclosure History

2013Employment Separation After Allegations

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SHUM FINANCIAL GROUP, INC.

CRD 285426 · SEC 801-110554

AUM

$246M

Regulatory assets under management

Employees

310 client accounts

Services offered by SHUM FINANCIAL GROUP, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SHUM FINANCIAL GROUP, INC. →

Introduction

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Frequently Asked Questions

What services does Cliff Wingyin Shum offer?

Cliff Wingyin Shum specializes in Financial Planning, Investment Management. Contact their office in ALAMEDA, California for a consultation.

What are Cliff Wingyin Shum's credentials?

Cliff Wingyin Shum holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Cliff Wingyin Shum located?

Cliff Wingyin Shum is based in ALAMEDA, California, working with SHUM FINANCIAL GROUP, INC.. Their office serves clients in the ALAMEDA metropolitan area and surrounding communities.

How does Cliff Wingyin Shum charge for services?

Cliff Wingyin Shum's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SHUM FINANCIAL GROUP, INC.?

SHUM FINANCIAL GROUP, INC. has approximately 4 employees and manages $246M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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