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James Michael Shaw

LPL Financial LLC

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About James Michael Shaw

James Michael Shaw is a registered representative with LPL Financial LLC. James has been in the industry since 1994. James has a Series 7, Series 24, and Series 63 license. James is also registered to offer investment advisory services in California. The current address for this advisor is 317 W OAK AVE, VISALIA, CA 93291-4928. James also has experience with A. G. EDWARDS & SONS, INC. and Valley Business Investment Services.

Firm Information

James Shaw is currently registered with LPL Financial LLC. LPL Financial LLC is a Limited Liability Company formed in 2010 and headquartered in Fort Mill, South Carolina. It provides advisory services including financial planning, pension consulting, and portfolio management for individuals and businesses. The firm manages over $463 billion in assets for a variety of clients, including high-net-worth individuals, corporations, pension plans, and charitable organizations. LPL Financial is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.
LPL Financial LLC

1055 LPL WAY

FORT MILL, SC 29715

$463.48B

Assets Under Management

168,915

Total Clients

21,775

Total Financial Advisors

Services Offered

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Shaw’s Registration & Firm History

CA

09/02/2003 - Present

LPL Financial LLC (VISALIA CA)

MO

08/01/1994 - 09/18/2003

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 08/09/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/01/2003

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/29/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for James Michael Shaw. Review regulatory record here.
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