James P. Shawver

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CRD#: 2571148

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 Patrick Shawver, CFP®, who also goes by Jim P. Shawver, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1995. James had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim P. Shawver

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) ISAACSON TAX & ESTATE ADVISORS POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2013 ADDRESS: 1301 N. Congress Avenue, Suite 350, Boynton Beach FL 33426, United States DESCRIPTION: 100% owner of DBA used to market securities, advisory, tax and insurance business. (2) Blackridge Asset Management, LLC; IAR; Start Date: 09/2020; Investment Related: Yes; Approximate Number Of Hours Spent On Activity Per Month: 40; Approximate Number Of Hours Spent On Activity Per Month During Trading Hours: 40

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

October 19, 2020 - December 31, 2023

BLACKRIDGE ASSET MANAGEMENT, LLC

RIA

CRD#: 277085

Boynton Beach, FL

Past

September 11, 2020 - December 31, 2023

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

Boynton Beach, FL

Past

June 11, 2013 - September 11, 2020

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

BOYNTON BEACH, FL

Past

May 29, 2013 - September 11, 2020

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

BOYNTON BEACH, FL

Past

July 12, 2007 - December 23, 2010

ISAACSON INVESTMENT ADVISORS, INC.

RIA

CRD#: 143488

BOYNTON BEACH, FL

Past

March 16, 2007 - May 29, 2013

NFSG CORPORATION

RIA

CRD#: 130814

BOCA RATON, FL

Past

March 13, 2007 - May 29, 2013

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOYNTON BEACH, FL

Past

December 12, 2006 - March 19, 2007

ASSET & FINANCIAL PLANNING, LTD

RIA

CRD#: 110709

BOYNTON BEACH, FL

Past

December 11, 2006 - March 19, 2007

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

BOYNTON BEACH, FL

Past

June 16, 2006 - November 20, 2006

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

CHICAGO, IL

Past

March 16, 2006 - April 3, 2006

COUNTRYWIDE INVESTMENT SERVICES, INC.

CRD#: 103919

MAITLAND, FL

Past

September 21, 2004 - November 1, 2005

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

LONGWOOD, FL

Past

September 16, 2004 - November 1, 2005

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

Past

October 13, 1999 - September 14, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DELAND, FL

Past

October 13, 1999 - September 14, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 1, 1998 - November 4, 1999

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

March 4, 1997 - April 1, 1998

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

January 3, 1995 - March 14, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/9/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/1995

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 12/23/1994

Municipal Securities Representative Examination

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

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Contact information

Main Address

1070 E. Indiantown Road Suite 208-210, Jupiter, FL 33477

Mailing Address

Phone number

(561) 641-5050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAM_ADV2A (FINAL 9.29.25) (9/29/2025)

Regulatory assets under management

Total Number of Accounts	826
AUM (Assets Under Management)	$ 196,842,156

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.

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Advisor Monitoring

Firm Stability Insights

James P. Shawver

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PEAK BROKERAGE SERVICES, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

ISAACSON INVESTMENT ADVISORS, INC.

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

ASSET & FINANCIAL PLANNING, LTD

PRIME CAPITAL SERVICES, INC.

ZACKS INVESTMENT MANAGEMENT, INC.

COUNTRYWIDE INVESTMENT SERVICES, INC.

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BARNETT INVESTMENTS, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

BLACKRIDGE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/1999

Series 63

Date: 6/9/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/12/1995

Series 52

Date: 12/23/1994

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BLACKRIDGE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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