Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Shoffner Jr. is a financial advisor registered with Wells Fargo Advisors Financial Network, LLC. James has been in the financial services industry since 1992 and has a diverse background in investment management, financial planning, and client services. James is a dedicated professional focused on assisting clients in achieving their financial goals, providing comprehensive financial advice, and developing customized investment strategies. He is committed to building long-lasting relationships with his clients and providing them with the personalized attention they deserve.
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.
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.
Investment consulting services to institutional clients
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.
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2
CO
09/14/2010 - Present
Wells Fargo Advisors Financial Network, LLC (DENVER CO)
CO
06/01/2009 - 08/30/2010
MORGAN STANLEY SMITH BARNEY (DENVER CO)
CO
05/18/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (DENVER CO)
CO
03/07/2000 - 06/05/2007
UBS FINANCIAL SERVICES INC. (DENVER CO)
NY
07/31/1993 - 03/23/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
06/25/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 05/04/2000
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/30/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/30/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 06/23/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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