James Shaw is a PFS-designated registered investment advisor, based in Naples, FL, with 25 years of industry experience.
Location
3168 Serena Lane, Unit 102, Naples, FL, 34114
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is a trustee for multiple family trusts, a director at Strebesana Resources LLC, and a manager at Gouvernet Management, LLC. He also works as an investment advisor and sells insurance products through Davie Kaplan Wealth Care Advisors, LLC, dedicating about a quarter of his time to financial and tax advice.
Employment History
Current Registrations
Cetera Wealth Services, LLC
Cetera Wealth Services, LLCBroker
Cetera Investment Advisers LLC
Dkcb Financial Advisors, LLC
Davie Kaplan Wealth Care Advisors, LLC
Previous Registrations
Avantax Advisory Services
Avantax Investment Services, INC.Broker
1st Global Capital CORP.Broker
State Registrations8 states
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