Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Shaffer is an investment advisor representative currently registered with Allstate Financial Advisors, LLC. James has been in the financial industry since 1998. James has his Series 6, 63, 22, and 65 licenses and is also a Chartered Financial Consultant. James has experience with several firms, including MML Investors Services, LLC and Capital Brokerage Corporation. James is currently registered in Arizona and California.
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.
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Third party advisory fees
1
2
CA
11/13/2012 - Present
Allstate Financial Advisors, LLC (Oakhurst CA)
CA
01/23/2004 - 11/02/2012
MML INVESTORS SERVICES, LLC (COARSEGOLD CA)
VA
04/05/1999 - 12/31/2003
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
GA
01/15/1998 - 03/24/1999
WMA SECURITIES, INC. (DULUTH GA)
IA
Issued 05/21/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/28/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2004
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 01/14/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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