Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Shockman is a financial advisor with Commonwealth Financial Network. James has been in the financial services industry for over 35 years and holds a Series 7, Series 63, Series 9, Series 10, Series 65, and Series 3 licenses. James has experience in providing financial planning, investment management, and other advisory services to individuals and businesses. James is committed to helping clients achieve their financial goals. James works in the Gig Harbor, WA office.
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.
Guidance on pension options to ensure a secure financial future.
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.
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
WA
04/25/2019 - Present
Commonwealth Financial Network (Gig Harbor WA)
WA
04/17/2019 - 07/03/2023
COMMONWEALTH FINANCIAL NETWORK (Gig Harbor WA)
WA
09/30/2011 - 04/24/2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (GIG HARBOR WA)
WA
06/01/2009 - 10/14/2011
MORGAN STANLEY SMITH BARNEY (GIG HARBOR WA)
WA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (GIG HARBOR WA)
WA
11/04/1991 - 04/02/2007
MORGAN STANLEY DW INC. (GIG HARBOR WA)
NY
11/27/1987 - 11/07/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 05/22/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/22/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2000
Series 3 - National Commodity Futures Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
Not sure James Shockman is the right advisor for you? Invested Better is here to help.
