1. Wealthminder
  2. Leawood, KS
James Shay, financial advisor Leawood KS

James Shay

CRD Number: 6509594
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James Shay (CRD# 6509594) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Leawood, KS and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Kansas City, MO Sep 2018 - Current 2
Bank Of America, N.a. Kansas City, MO Oct 2016 - Sep 2018 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Kansas City, MO Jan 2016 - Sep 2018 2
University Of Kansas Lawrence, KS Aug 2011 - Dec 2015 4
Merrill Lynch Kansas City, MO Jun 2015 - Aug 2015 < 1
Lockton Companies Kansas City, MO Jun 2014 - Aug 2014 < 1
Frontier Investment Bank Kansas City, MO Dec 2012 - Jan 2014 1
Mission Hills Country Club Mission Hills, KS May 2008 - Aug 2012 4
Rockhurst High School Kansas City, MO Aug 2007 - May 2011 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2016
Contact Info for James C. Shay
By the Numbers
  • Total Assets Under Management
    962,052
    MILLIONS
  • Total Number of Accounts
    2,529,169
    ACCOUNTS
  • Average Account Value
    $380,383
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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