James W. Shay

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CRD#: 3247381

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 Walter Shay, who also goes by James W Shay, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1999. James had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 14 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James W Shay

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

CETERA ADVISORS LLC

CRD#: 10299

EL SEGUNDO, CA

Past

May 1, 2012 - October 2, 2014

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

December 19, 2006 - October 2, 2014

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SCHAUMBURG, IL

Past

December 19, 2006 - October 2, 2014

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

July 23, 1999 - December 20, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

CETERA INVESTMENT MANAGEMENT LLC

CETERA INVESTMENT MANAGEMENT LLC | TOWER SQUARE INVESTMENT MANAGEMENT LLC

CRD#: 165436 / SEC#: 801-77403

RIA

Registered Investment Advisory firm - (1/3/2013 Approved)

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 66

Date: 8/13/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/2/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/29/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/26/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 14

Date: 1/8/2002

Compliance Officer Examination

Principal/Supervisory Exam

Series 8

Date: 9/14/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CETERA INVESTMENT MANAGEMENT LLC

CETERA INVESTMENT MANAGEMENT LLC | TOWER SQUARE INVESTMENT MANAGEMENT LLC

CRD#: 165436 / SEC#: 801-77403

RIA

Registered Investment Advisory firm - (1/3/2013 Approved)

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Contact information

Main Address

1450 American Lane Suite 650, Schamburg, IL 60173

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CETERA INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (3/28/2025)

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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James W. Shay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/1999

SIE

Date: 10/2/2014

Series 7

Date: 6/29/1999

Series 24

Date: 9/26/2005

Series 14

Date: 1/8/2002

Series 8

Date: 9/14/1999

Current Firm

CETERA INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

CETERA INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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