James C. Shay

KORNITZER CAPITAL MANAGEMENT

Shawnee Mission, KS 66205-3084

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CRD#: 6509594

Professional summary

James C Shay, CFP®, who also goes by Jim C Shay, James Carl Shay, is a registered financial advisor currently at KORNITZER CAPITAL MANAGEMENT, INC. located in Shawnee Mission, Kansas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Retirement Planning

Investment Planning

Tax Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Jim C Shay | James Carl Shay

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 C Shay'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: 2019

Experience

Current

October 26, 2023 - Present

KORNITZER CAPITAL MANAGEMENT, INC.

Office #1: 5420 West 61st Place, Shawnee Mission, KS 66205-3084

RIA

CRD#: 111087

Shawnee Mission, KS

Past

October 2, 2018 - January 13, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LEAWOOD, KS

Past

September 19, 2018 - January 13, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LEAWOOD, KS

Past

April 14, 2016 - September 24, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

KANSAS CITY, MO

Past

March 17, 2016 - September 24, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

KANSAS CITY, MO

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".

KORNITZER CAPITAL MANAGEMENT, INC.

KORNITZER CAPITAL MANAGEMENT INC | KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087 / SEC#: 801-34933

RIA

Registered Investment Advisory firm - (8/4/1989 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

Kansas
(10/26/2023)

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 66

Date: 4/13/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/2016

General Securities Representative Examination

Current Firm

KORNITZER CAPITAL MANAGEMENT, INC.

KORNITZER CAPITAL MANAGEMENT INC | KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087 / SEC#: 801-34933

RIA

Registered Investment Advisory firm - (8/4/1989 Approved)

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Contact information

Main Address

5420 West 61st Place, Mission, KS 66205-3084

Mailing Address

P.o. Box 918, Shawnee Mission, KS 66201-0918

Phone number

(913) 677-7778

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE DISCLOSURE (6/26/2025)

Regulatory assets under management

Total Number of Accounts	5,127
AUM (Assets Under Management)	$ 6,752,273,410

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/20/2025	Cover Page	Report
11/19/2024	Cover Page	Report
09/25/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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James C. Shay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James C Shay's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

KORNITZER CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/13/2016

SIE

Date: 10/1/2018

Series 7

Date: 3/17/2016

Current Firm

KORNITZER CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KORNITZER CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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