JS
James F. Shaw
DAVIE KAPLAN WEALTH CARE ADVISORS
ROCHESTER, NY 14618
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CRD#: 4332335
JS
Professional summary
James Frederick Shaw, who also goes by Jim Shaw, is a registered financial advisor currently at DAVIE KAPLAN WEALTH CARE ADVISORS, LLC located in Rochester, New York and DKCB FINANCIAL ADVISORS, LLC located in Rochester, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Shaw
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) TTEE fbo G. FAMILY TRUST POSITION: TRUSTEE NATURE: Investment trust. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2007 ADDRESS: Rochester NY 14614, United States DESCRIPTION: Duties as stated in terms of trust. 2) TTEE fbo G.R.G TRUST FBO P.G. POSITION: MANAGER NATURE: Trustee for benefit of decedent's son. INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: Rochester NY 14614, United States DESCRIPTION: Duties as stated in terms of trust. 3) STREBESANA RESOURCES LLC POSITION: NY DIRECTOR NATURE: Consulting INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1993 ADDRESS: Rochester NY 14614, United States DESCRIPTION: accounting 4) GOUVERNET MANAGEMENT, LLC POSITION: Manager NATURE: Manager INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: Rochester NY 14614, United States DESCRIPTION: Reporting, pay bills; prepare tax returns. 5) TTEE fbo S.G. IRREVOCABLE LIFE INSURANCE TRUST POSITION: TTEE NATURE: TRUST INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2000 ADDRESS: Rochester NY 14614, United States DESCRIPTION: Duties as stated in terms of trust. 6) QUANTUM LOOP SOLUTIONS, INC POSITION: ADVISORY BOARD MEMBER NATURE: SOFTWARE DEVELOPMENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/12/2012 ADDRESS: Rochester NY 14614,DESCRIPTION: SOFTWARE 7) ASCRIBE INC POSITION: TREASURER NATURE: Laser Marking INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: Fairport NY DESCRIPTION: accounting 8) DKCB FINANCIAL ADVISORS, LLC POSITION: Investment Adviser Representative NATURE: Financial svcs INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2001 ADDRESS: Rochester NY 14614 DESCRIPTION: Financial svcs 9) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC POSITION: ASSOCIATED ADVISOR NATURE: FINANCIAL AND TAX ADVICE INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 12/04/2014 ADDRESS: Rochester NY 14614, United States DESCRIPTION: Investment/financial advisor. 10) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (RIA) POSITION: Advisor NATURE: Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: ADDRESS: Rochester NY United States DESCRIPTION: Financial Planning 14) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (INSURANCE) POSITION: Sales NATURE: Sales of Insurance products INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: ADDRESS: Rochester NY United States DESCRIPTION: Sales of Insurance products 11) EXECUTOR OF THE SUZANNE GOUVERNET ESTATE POSITION: Executor NATURE: Due to the passing of Suzanne her will has identified Me as the executor of the estate. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 09/01/2023 ADDRESS: 28 Main Street East, Suite 1000, Rochester NY 14614, United States DESCRIPTION: I will be executing Suzannes wishes as directed by her Last Will and Testament, dated 2008 (see below) - start date is pending as the courts must appoint me. Suzannes death was on 9/1/2023. Court appointment will be provided after paperwork is provided. NYS courts are processing 12) SOMERSET HILLS HOA POSITION: Board Member NATURE: I prepare checks for signature by the Treasurer. Also perform bookkeeping tasks. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/20/2024 ADDRESS: 348 Franlee Lane, Attention Somerset Hill HOA, Victor NY 14564, United States DESCRIPTION: I prepare checks for signature by the Treasurer. Also perform bookkeeping tasks. 13)DAVIE KAPLAN, CPA, P.C.; PRINCIPAL; NIR; 08/01/2007; Rochester NY 14614;
CRS (Client Relationship Summary) - RIA
Click below to view James Frederick Shaw'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®
NoneExperience
Current
June 21, 2021 - Present
DAVIE KAPLAN WEALTH CARE ADVISORS, LLC
Office #1: 100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618RIA
CRD#: 140436
ROCHESTER, NY
Current
June 22, 2021 - Present
DKCB FINANCIAL ADVISORS, LLC
Office #1: 100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618RIA
CRD#: 126493
ROCHESTER, NY
Current
August 13, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 100 Meridian Centre Blvd Suite 200, Rochester, NY 14618Office #2: 3168 Serena Lane Unit 102, Naples, FL 34114RIA
CRD#: 105644
Rochester, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Meridian Centre Blvd Suite 200, Rochester, NY 14618BD
CRD#: 13572
ROCHESTER, NY
Past
October 24, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
VICTOR, NY
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ROCHESTER, NY
Past
January 31, 2001 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
ROCHESTER, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
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
RR
California(9/5/2025)
RR
Connecticut(9/5/2025)
IAR
Florida(8/13/2025)
RR
Florida(9/5/2025)
RR
Maryland(9/5/2025)
IAR
New York(6/21/2021)
RR
New York(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Rochester, NY 14618TRUST BUT VERIFY
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