James L. Shockman
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 Leroy Shockman, CIMA®, who also goes by Jim Shockman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2020 - January 26, 2024
CONESTOGA WEALTH PARTNERS
April 17, 2019 - January 3, 2025
COMMONWEALTH FINANCIAL NETWORK
April 17, 2019 - July 3, 2023
COMMONWEALTH FINANCIAL NETWORK
September 30, 2011 - April 24, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 30, 2011 - April 24, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 1, 2009 - October 14, 2011
MORGAN STANLEY
June 1, 2009 - October 14, 2011
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 30, 1992 - April 2, 2007
MORGAN STANLEY DW INC.
November 4, 1991 - April 2, 2007
MORGAN STANLEY DW INC.
November 27, 1987 - November 7, 1991
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 1/22/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CONESTOGA WEALTH PARTNERS
CRD#: 301964 / SEC#:
Contact information
Red Flags
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