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James Walter Shay

Other Names: James W Shay
Firm:
Cetera Advisors LLC
Head of Risk Management
Additional Firms:
Cetera Advisor Networks LLC
Head of Risk Management
...(see more)
Type: Dual Registration
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Description

James Shay an executive and has an ownership stake of Genworth Financial Advisers Corporation, a $3B dollar RIA based in Schaumburg, IL. James has held an industry securities registration for 6 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

James Walter Shay has not answered any questions on Financial Q&A.

Top Guides

James Walter Shay has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
Charitable Organizations
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Multi-Financial Securities Corp 1 year May 2012 - Present
Cetera Financial Group 1 year May 2012 - Present
Financial Network 1 year May 2012 - Present
Primevest Financial Services 1 year May 2012 - Present
Cetera Advisors LLC 1 year, 1 month Apr 2012 - Present
Cetera Advisor Networks LLC 1 year, 1 month Apr 2012 - Present
Primevest Financial Services, Inc. 1 year, 1 month Apr 2012 - Present
Genworth Financial Advisers Corporation 6 years, 5 months Dec 2006 - Present
Genworth Financial Securities Corporation 6 years, 5 months Dec 2006 - Present
A. G. Edwards & Sons, Inc. 9 years, 7 months May 1997 - Dec 2006
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 05/31/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
05/31/2012
08/09/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 08/13/1999

Firm Compensation Arrangements

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No compensation arrangements listed.