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James Shipe

Cetera Investment Advisers LLC

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About James Shipe

James Shipe is a financial advisor registered with Cetera Investment Advisers LLC. James has been in the industry for more than five years. James holds FINRA Series 7, 66, and SIE licenses. James offers a variety of financial services including financial planning, pension consulting and portfolio management for individuals and businesses. James is located in Westlake Village, California.

Firm Information

James Shipe is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a large financial advisory firm with over 6,600 registered representatives and investment advisor representatives. Headquartered in Schaumburg, Illinois, Cetera provides a wide range of financial services, including financial planning, portfolio management, and pension consulting. The firm manages over $104 billion in assets and serves a diverse client base, including individuals, businesses, charitable organizations, and pension plans.
Cetera Investment Advisers LLC

2945 TOWNSGATE RD

WESTLAKE VILLAGE, CA 91361

$104.47B

Assets Under Management

16,618

Total Clients

7,280

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.

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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percentage of assets

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

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James Shipe’s Registration & Firm History

CA

10/18/2024 - Present

Cetera Investment Advisers LLC (WESTLAKE VILLAGE CA)

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Licenses & Designations

BOTH

Issued 2/5/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/13/2018

Series 7TO - General Securities Representative Examination

BC

Issued 11/19/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for James Shipe.
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