James T. Shen

FORUSALL

San Carlos, CA

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CRD#: 4659338

Professional summary

James Tian-hwa Shen is a registered financial advisor currently at FORUSALL located in San Carlos, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. James has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view James Tian-hwa Shen'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®

None

Experience

Current

March 18, 2026 - Present

FORUSALL

RIA

CRD#: 167241

San Carlos, CA

Past

November 18, 2022 - March 9, 2026

SHAREBUILDER 401K

RIA

CRD#: 300537

Milipitas, CA

Past

October 24, 2016 - August 22, 2019

STANCORP EQUITIES, INC.

CRD#: 19517

WALNUT CREEK, CA

Past

August 10, 2011 - October 18, 2016

LIBERTY GROUP, LLC

CRD#: 106036

MOUNTAIN VIEW, CA

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".

FORUSALL

FORUS ADVISORS, LLC | FORUSALL ADVISORS, LLC | FORUSALL

CRD#: 167241 / SEC#: 801-77865

RIA

Registered Investment Advisory firm - (4/18/2013 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.

Highlighted states indicate IAR registrations

IAR

California
(3/18/2026)

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: 11/18/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/9/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FORUSALL

FORUS ADVISORS, LLC | FORUSALL ADVISORS, LLC | FORUSALL

CRD#: 167241 / SEC#: 801-77865

RIA

Registered Investment Advisory firm - (4/18/2013 Approved)

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Contact information

Main Address

Oakland, CA

Mailing Address

809 Laurel St. Unit 1328, San Carlos, CA 94070

Phone number

(844) 401-2253

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/28/2025)

FORUSALL ADVISORS ADV PART 3 (FORM CRS) (3/28/2025)

Regulatory assets under management

Total Number of Accounts	46,824
AUM (Assets Under Management)	$ 1,337,900,000

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 T. Shen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Tian-hwa Shen's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORUSALL

SHAREBUILDER 401K

STANCORP EQUITIES, INC.

LIBERTY GROUP, LLC

Primary Firm SEC Registration

FORUSALL

State Registrations and Notice Filings

Exams

Series 65

Date: 11/18/2022

Series 63

Date: 9/9/2011

SIE

Date: 10/1/2018

Series 6

Date: 8/9/2011

Current Firm

FORUSALL

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORUSALL

TRUST BUT VERIFY

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