James W. Shucart
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Wood Shucart, who also goes by Jim Shucart, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2004 - September 9, 2013
OAKBRIDGE FINANCIAL SERVICES
June 29, 2001 - December 31, 2002
MOLONEY SECURITIES CO., INC.
August 23, 1995 - June 29, 2001
CARDINAL INVESTMENTS, INC.
January 22, 1992 - December 31, 1994
CUTTER & COMPANY, INC.
August 24, 1988 - June 6, 1990
FINANCIAL PLANNING CONSULTANTS, INC.
February 21, 1986 - July 19, 1988
MONY SECURITIES CORPORATION
July 26, 1984 - January 30, 1986
FINANCIAL MANAGEMENT GROUP,INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OAKBRIDGE FINANCIAL SERVICES
CRD#: 16323 / SEC#: , 8-33729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUANG, JOHN CHUNEN | OWNER | 2659909 |
| STANDLEY, MICHAEL THOMAS | OWNER | |
| WINTER, KATHRYN ANN | OWNER | 4523089 |
| CLAYTON, ALAN CLIFTON | OWNER | 2407426 |
| DAVIS, GRAHAM LEWIS | OWNER | 2430102 |
| HIGGINBOTHAM, SUZANNE G | OWNER | 1443872 |
| LARSON, STEVEN ELLSWORTH | OWNER | 2422755 |
| SIEBER, DEBRA ANN | OWNER | 5636638 |
| WILSON, CHARLENE FAITH | FINOP, CCO | 1935747 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
