Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Augustus Shaw is a financial advisor currently registered with BOK Financial Securities, Inc. James has been in the industry since 1987. James has passed the Series 7, 63, 26, 52TO, SIE, and 24 exams. James currently holds registrations in 49 states for broker-dealer activities and one state for investment advisor activities. James has previous experience with several firms, including AXA Advisors, LLC, Davis Distributors, LLC, Zurich Kemper Distributors, Inc., OppenheimerFunds Distributor, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, FBS Investment Services, Inc., ISFA Corporation, PLANCO Financial Services, Inc., The Great-West Life Assurance Company, and E. J. Pittock & Co., Incorporated.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Furnishes advice about securities in any manner not described above.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OK
03/01/2018 - Present
BOK Financial Securities, Inc. (Tulsa OK)
OK
09/30/2011 - 07/11/2017
AXA ADVISORS, LLC (OKLAHOMA CITY OK)
AZ
11/25/1997 - 07/01/2010
DAVIS DISTRIBUTORS, LLC (TUCSON AZ)
IL
05/21/1996 - 11/25/1997
ZURICH KEMPER DISTRIBUTORS, INC. (CHICAGO IL)
NY
01/05/1993 - 05/02/1996
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
NY
01/09/1991 - 12/07/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MN
03/06/1990 - 01/07/1991
FBS INVESTMENT SERVICES, INC. (SAINT PAUL MN)
WI
08/06/1987 - 11/16/1989
ISFA CORPORATION (APPLETON WI)
NA
06/18/1987 - 08/17/1987
PLANCO FINANCIAL SERVICES, INC.
NA
04/25/1986 - 04/14/1987
THE GREAT-WEST LIFE ASSURANCE COMPANY
NA
06/20/1984 - 03/26/1986
E. J. PITTOCK & CO., INCORPORATED
IA
Issued 12/12/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/07/2011
Series 24 - General Securities Principal Examination
BC
Issued 02/22/2001
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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