James Shafferman, financial advisor New Orleans LA
81 score

James Shafferman

CRD Number: 4497726
Current Firm: Ubs Financial Services Inc.

James Shafferman (CRD# 4497726) is an Investment Advisor Representative working at Ubs Financial Services Inc. in New Orleans, LA and has over 7 years of experience in the finance industry.

Similar Advisors
Virajith Wijeweera, financial advisor New Orleans LA
Virajith Y. Wijeweera
CRD# 5611570
Fpl Capital Management, LLC
Score
101
Similar Advisors
Alan Richey, financial advisor New Orleans LA
Alan H. Richey
CRD# 6149527
Edward Jones
Score
99
Similar Advisors
H. Jude Boudreaux, financial advisor New Orleans LA
H. Jude Boudreaux
CRD# 4274831
Upperline Financial Planning, LLC
Score
101
Company Name Location Dates Years
Ubs Financial Services Inc. New Orleans, LA Jan 2013 - Current 3
Wells Fargo Advisors LLC Metairie, LA May 2009 - Jan 2013 3
Wachovia Securities, LLC Metairie, LA Sep 2008 - May 2009 < 1
Unemployed Metairie, LA Aug 2008 - Sep 2008 < 1
Edward Jones St Louis, MO May 2008 - Jul 2008 < 1
New Orleans Capital Partners LLC New Orleans, LA Dec 2006 - Mar 2008 1
Latter & Blum Pm New Orleans, LA Oct 2005 - Nov 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for James F. Shafferman
Phone Number: 201-352-3000
Registered State(s):
  • LA
  • TX
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
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

Ready to hire a financial advisor? Get competitive proposals from James Shafferman and other advisors.
BADGES
81

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.