Clayton K Shum
Investment Adviser Representative at AEGIS CAPITAL CORP.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Clayton K. Shum has worked in the securities industry since 2006. They are registered to provide investment advisory services in Arizona, California, Florida, Hawaii, Texas, and Washington.
Registrations & licenses
Approximate fees
Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
| Asset tier | Annual rate |
|---|---|
| First $250,000 (client pays transaction costs) | 2.50% |
| Next $750,000 (client pays transaction costs) | 2.25% |
| Over $1,000,000 (client pays transaction costs) | 2.00% |
| First $250,000 (adviser pays transaction costs) | 3.00% |
| Next $750,000 (adviser pays transaction costs) | 2.75% |
| Over $1,000,000 (adviser pays transaction costs) | 2.50% |
Aegis Capital Corp. Form ADV Part 2A (Item 5), most recent annual amendment.
Employment history
Registration history as reported to FINRA, most recent first.
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
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