Eddy Shum
Eddy Shum is a CFP, PFS-designated registered investment advisor at LPL Financial LLC, based in Burlingame, CA, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
433 Airport Boulevard, Suite 500, Burlingame, CA, 94010
Get directionsHistory
Regulatory History (6)
Customer Dispute
February 2008Customer Dispute
December 2004Customer Dispute
September 2004Customer Dispute
November 2003Customer Dispute
May 2003Customer Dispute
April 2001Other Business ActivitiesSells Insurance
Eddy is involved with Peak Retirement Inc. as a business entity for tax/investment purposes, dedicating about 10-20% of his time. He also operates EH Shum Financial Solutions as a DBA for his LPL business, which is nearly a full-time commitment, and engages in non-variable insurance activities through Peak Retirement Inc. DBA EH Shum Financial Solutions, taking about 10-20% of his time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Grove Point Advisors, LLC
Grove Point Investments, LLCBroker
H. Beck, INC.
USA Financial Securities Corporation
USA Financial Securities CorporationBroker
First Allied Securities, INC.Broker
First Allied Advisory Services, INC.
Ffp Securities, INC.Broker
National Planning CorporationBroker
H.D. Vest Investment Securities, INC.Broker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.