Jonathan P. Shiffer

JOURNEY CAPITAL ADVISERS

Littleton, CO

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CRD#: 3208090

Professional summary

Jonathan Patrick Shiffer, who also goes by Jonathan P Shiffer, is a registered financial advisor currently at JOURNEY CAPITAL ADVISERS, LLC located in Littleton, Colorado.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Jonathan has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan P Shiffer

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.

OWNER OF RENTAL PROPERTIES; DALLAS, TX; 2005 TO PRESENT; 5 NON BUSINESS HOURS PER MONTH. Journey Capital Advisors, a registered investment adviser. Owner/control person serving as the CCO, CIO and CEO. Engage in portfolio construction and management approximately 15 hours a month of which 5 is during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Patrick Shiffer's CRS (Customer Relationship Summary).

Certified licenses

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

None

Experience

Current

August 19, 2016 - Present

JOURNEY CAPITAL ADVISERS, LLC

RIA

CRD#: 284660

Littleton, CO

Past

January 14, 2021 - December 31, 2022

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN FRANCISCO, CA

Past

February 16, 2018 - January 18, 2019

EQIS SECURITIES, LLC

CRD#: 20633

SAN RAFAEL, CA

Past

January 15, 2018 - April 10, 2024

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

Highlands Ranch, CO

Past

February 26, 2016 - March 17, 2016

CURIAN CLEARING, LLC

CRD#: 132938

DENVER, CO

Past

November 9, 2012 - March 17, 2016

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

December 3, 2002 - November 8, 2012

RUSHMORE INVESTMENT ADVISORS INC

RIA

CRD#: 110292

PLANO, TX

Past

November 17, 2000 - December 31, 2003

WFG INVESTMENTS, INC.

CRD#: 22704

DALLAS, TX

Past

December 21, 1999 - August 25, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(9/1/2016)

IAR

Illinois
(2/16/2018)

IAR

Texas
(8/19/2016)

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: 1/28/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/24/2000

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: 2/26/2016

General Securities Representative Examination

Current Firm

JOURNEY CAPITAL ADVISERS, LLC

CRD#: 284660 / SEC#:

Colorado

Registered Investment Advisory firm - (9/1/2016 Approved)

Illinois

Registered Investment Advisory firm - (2/16/2018 Approved)

Minnesota

Registered Investment Advisory firm - (8/2/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/1/2017 Approved)

Wisconsin

Registered Investment Advisory firm - (11/20/2018 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).

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Contact information

Main Address

Littleton, CO

Mailing Address

Phone number

(866) 917-1328

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 12,929,789

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

Jonathan P. Shiffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Patrick Shiffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

PORTSMOUTH FINANCIAL SERVICES

EQIS SECURITIES, LLC

FREEDOM INVESTMENT MANAGEMENT, INC.

CURIAN CLEARING, LLC

CURIAN CAPITAL, LLC

RUSHMORE INVESTMENT ADVISORS INC

WFG INVESTMENTS, INC.

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2000

Series 63

Date: 1/24/2000

SIE

Date: 10/1/2018

Series 7

Date: 2/26/2016

Current Firm

JOURNEY CAPITAL ADVISERS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JOURNEY CAPITAL ADVISERS, LLC

TRUST BUT VERIFY

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