James ShaughnessyCRD Number: 5306994
Current Firm: Suntrust Investment Services, Inc.
James Shaughnessy (CRD# 5306994) is an Investment Advisor Representative working at Suntrust Investment Services, Inc. in Raleigh, NC and has over 10 years of experience in the finance industry.
Wiser Financial Coaching, LLC
Signator Investors, Inc.
Hornor, Townsend & Kent, Inc.
|Suntrust Investment Services, Inc.||Atlanta, GA||Jun 2007 - Current||10|
|Wachovia Securities, LLC||Raleigh, NC||Apr 2007 - Jun 2007||< 1|
|Wachovia Securities, LLC||Durham, NC||Mar 2007 - Apr 2007||< 1|
|Wachoiva Bank, N.a.||Raleigh, NC||Aug 2006 - Mar 2007||< 1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jul 2007|
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:
- Customer Dispute
Total Assets Under Management10,443MILLIONS
Total Number of Accounts26,841ACCOUNTS
Average Account Value$389,077
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- 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)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV