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JS

James T. Shen

SHAREBUILDER 401K
Milipitas, CA
Some features on this profile are disabled
CRD#: 4659338
JS

Professional summary

James Tian-hwa Shen is a registered financial advisor currently at SHAREBUILDER 401K located in Milipitas, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. James has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

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

November 18, 2022 - Present

SHAREBUILDER 401K

RIA
CRD#: 300537
Milipitas, CA
Past

October 24, 2016 - August 22, 2019

STANCORP EQUITIES, INC.

BD
CRD#: 19517
WALNUT CREEK, CA
Past

August 10, 2011 - October 18, 2016

LIBERTY GROUP, LLC

BD
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".
S4
SHAREBUILDER 401K
SHAREBUILDER 401K | SHAREBUILDER ADVISORS, LLC

CRD#: 300537 / SEC#: 801-115195

RIA
Registered Investment Advisory firm - (5/3/2019 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
(11/18/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/18/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/9/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/9/2011
Investment Company Products/Variable Contracts Representative Examination

Current Firm

S4
SHAREBUILDER 401K
SHAREBUILDER 401K | SHAREBUILDER ADVISORS, LLC

CRD#: 300537 / SEC#: 801-115195

RIA
Registered Investment Advisory firm - (5/3/2019 Approved)
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Contact information

Main Address
801 Second Ave Suite 1400, Seattle, WA 98104
Mailing Address
801 Second Ave Suite 1400, Seattle, WA 98104
Phone number
(425) 213-9035
Established
Firm type
Fiscal year end
# of Employees
36

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SBA ADVII 2025 (6/3/2025)

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.

Company Information

SHAREBUILDER 401K

CRD#: 300537Milipitas, CA

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