JS
James P. Shafer
NEW EDGE WEALTH
Wayzata, MN 55391
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CRD#: 4957559
JS
James P. ShaferNEW EDGE WEALTH
Professional summary
James P. Shafer, who also goes by James Paul Shafer, James Shafer, is a registered financial advisor currently at NEW EDGE WEALTH located in Wayzata, Minnesota and NEWEDGE SECURITIES, LLC located in Wayzata, Minnesota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. James has worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Aliases
James Paul Shafer | James Shafer
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)ALPHA OMEGA CAPITALISTS LLC. NE BLAINE, MN, 55449. YES, INVESTMENT RELATED. BUSINESS - RENTAL PROPERTIES. TITLE - CO - OWNER. START DATE - 01/01/2004. 20 HRS/MONTH. DUTIES - RUN THE PROPERTIES. 2)ENLIVEN INTERNATIONAL / 5269 FENSON COURT NORTH HUGO,MN 55038 / CO-OPERATION / WORKING WITH COMMUNITIES WHO MAKE LESS THAN $2 / DAY IN NICARAGUA / OFFICER / / DEVELOPMENT OF ORGANIZATION / CREATING IT / START DATE 1/1/2013 / 3)Italian Eatery / 4724 Cedar Ave S Minneapolis,mn 55407 / Company/ Food, Beverages & Tobacco / Restaurant / Partner / / Provided Capital and Advice / Start Date 11/2/15 /
CRS (Client Relationship Summary) - RIA
Click below to view James P. Shafer'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
September 14, 2026 - Present
NEW EDGE WEALTH
Office #1: 1907 E Wayzata Blvd 3rd Floor, Wayzata, MN, 55391RIA
CRD#: 307771
Wayzata, MN
Current
September 14, 2026 - Present
NEWEDGE SECURITIES, LLC
Office #1: 1907 E Wayzata Blvd 3rd Floor, Wayzata, MN, 55391BD
CRD#: 10674
Wayzata, MN
Past
January 3, 2006 - September 22, 2026
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WAYZATA, MN
Past
July 12, 2005 - September 22, 2026
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WAYZATA, MN
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".
NE
NEW EDGE WEALTH
ALIGNED BY NEWEDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEWEDGE FAMILY OFFICE | NEW EDGE WEALTH LLC | NEW EDGE WEALTH
CRD#: 307771 / SEC#: 801-118291
RIA
Registered Investment Advisory firm - (3/25/2020 Approved)Maryland
Registered Investment Advisory firm - (2/28/2020 Terminated)North Carolina
Registered Investment Advisory firm - (2/25/2020 Terminated)South Dakota
Registered Investment Advisory firm - (2/24/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (2/24/2020 Terminated)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
Alabama(9/14/2026)
RR
Alaska(9/14/2026)
RR
Arizona(9/14/2026)
RR
Arkansas(9/14/2026)
RR
California(9/14/2026)
RR
Colorado(9/14/2026)
RR
Florida(9/14/2026)
RR
Georgia(9/14/2026)
RR
Hawaii(9/14/2026)
RR
Illinois(9/14/2026)
RR
Indiana(9/14/2026)
RR
Iowa(9/14/2026)
RR
Kansas(9/14/2026)
RR
Kentucky(9/14/2026)
RR
Louisiana(9/14/2026)
RR
Maryland(9/14/2026)
RR
Massachusetts(9/14/2026)
RR
Michigan(9/14/2026)
RR
Minnesota(9/14/2026)
IAR
Minnesota(9/14/2026)
RR
Mississippi(9/14/2026)
RR
Missouri(9/14/2026)
RR
Montana(9/14/2026)
RR
New Jersey(9/14/2026)
RR
New Mexico(9/14/2026)
RR
New York(9/14/2026)
RR
North Carolina(9/14/2026)
RR
North Dakota(9/14/2026)
RR
Ohio(9/14/2026)
RR
Oklahoma(9/14/2026)
RR
Oregon(9/14/2026)
RR
Pennsylvania(9/14/2026)
RR
South Carolina(9/14/2026)
RR
South Dakota(9/14/2026)
RR
Tennessee(9/14/2026)
RR
Texas(9/14/2026)
IAR
Texas(9/14/2026)
RR
Virgin Islands(9/14/2026)
RR
Virginia(9/14/2026)
RR
Washington(9/14/2026)
RR
Wisconsin(9/14/2026)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NE
NEW EDGE WEALTH
ALIGNED BY NEWEDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEWEDGE FAMILY OFFICE | NEW EDGE WEALTH LLC | NEW EDGE WEALTH
CRD#: 307771 / SEC#: 801-118291
RIA
Registered Investment Advisory firm - (3/25/2020 Approved)Maryland
Registered Investment Advisory firm - (2/28/2020 Terminated)North Carolina
Registered Investment Advisory firm - (2/25/2020 Terminated)South Dakota
Registered Investment Advisory firm - (2/24/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (2/24/2020 Terminated)Loading...
Contact information
Main Address
2200 Atlantic Street Suite 200, Stamford, CT 06902
Mailing Address
Phone number
(203) 424-2262
Established
Firm type
Fiscal year end
# of Employees
211
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,593 |
| AUM (Assets Under Management) | $ 19,926,358,801 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 01/27/2025 | ||
| 12/22/2023 |
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.
