James R. Shope

SHOPE ADVISORS GROUP

Camillus, NY 13031

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CRD#: 3272764

Professional summary

James Ray Shope III, CFP®, who also goes by James R Shope III, James R (iii) Shope, James Shope, is a registered financial advisor currently at SHOPE ADVISORS GROUP located in Camillus, New York and LEIGH BALDWIN & CO., LLC located in Camillus, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James R Shope Iii | James R (iii) Shope | James Shope

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.

2025: Fixed Insurance; non-investment related; no ownership; as needed.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ray Shope III's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

November 17, 2021 - Present

SHOPE ADVISORS GROUP

Office #1: Shope Advisors Group 5014 W Genesee St, Camillus, NY 13031

RIA

CRD#: 144056

Camillus, NY

Current

August 19, 2005 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 5014 W Genesee St, Camillus, NY 13031

RIA

CRD#: 38751

Camillus, NY

Past

July 1, 2003 - August 22, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 30, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

SHOPE ADVISORS GROUP

SHOPE ADVISORS GROUP | SHOPE FINANCIAL PLANNING, INC. | SHOPE FINANCIAL PLANNING INC.

CRD#: 144056 / SEC#: 801-123407

RIA

Registered Investment Advisory firm - (3/10/2022 Approved)

New York

Registered Investment Advisory firm - (4/7/2022 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.

IAR

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(6/16/2011)

Florida
(8/19/2005)

Michigan
(6/21/2011)

New York
(8/19/2005)

IAR

New York
(11/17/2021)

Ohio
(7/23/2015)

Tennessee
(6/12/2020)

Vermont
(1/5/2006)

Wisconsin
(8/19/2005)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/22/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SHOPE ADVISORS GROUP

SHOPE ADVISORS GROUP | SHOPE FINANCIAL PLANNING, INC. | SHOPE FINANCIAL PLANNING INC.

CRD#: 144056 / SEC#: 801-123407

RIA

Registered Investment Advisory firm - (3/10/2022 Approved)

New York

Registered Investment Advisory firm - (4/7/2022 Terminated)

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Contact information

Main Address

Shope Advisors Group 5014 W Genesee St, Camillus, NY 13031

Mailing Address

Phone number

(315) 701-5857

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHOPE ADVISORS GROUP - FORM ADV PART 2 (2/20/2025)

Regulatory assets under management

Total Number of Accounts	83
AUM (Assets Under Management)	$ 57,096,078

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 R. Shope

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ray Shope III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

SHOPE ADVISORS GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/1999

Series 63

Date: 10/18/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/29/1999

Series 24

Date: 9/22/2006

FINRA

Current Firm

SHOPE ADVISORS GROUP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHOPE ADVISORS GROUP

TRUST BUT VERIFY

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