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James Tian-hwa Shen

Sharebuilder 401k

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About James Tian-hwa Shen

James Shen is a financial professional with a wealth of experience in the financial services industry. James currently works at Sharebuilder 401k as a registered investment advisor representative, and has previously held positions at Staneorp Equities, Inc. and Liberty Group, LLC. James has a strong educational background, having earned the Series 6, Series 63, and Series 65 licenses. James is committed to providing comprehensive financial planning services to clients, with a focus on pension consulting and educational seminars.

Firm Information

James Shen is currently registered with Sharebuilder 401k. Sharebuilder 401k is a Seattle, WA-based firm that provides pension consulting and educational seminars. They specialize in serving pension and profit-sharing plans, with approximately 5,500 clients. The firm has 16 investment adviser representatives and 5 investment advisory functions.
Sharebuilder 401k

801 SECOND AVE

SEATTLE, WA 98104

Not reported

Assets Under Management

5,500

Total Clients

18

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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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.

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 Shen’s Registration & Firm History

WA

11/18/2022 - Present

Sharebuilder 401k (SEATTLE WA)

CA

10/24/2016 - 08/22/2019

STANCORP EQUITIES, INC. (WALNUT CREEK CA)

CA

08/10/2011 - 10/18/2016

LIBERTY GROUP, LLC (MOUNTAIN VIEW CA)

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Licenses & Designations

IA

Issued 11/18/2022

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/09/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/09/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Tian-hwa Shen.
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