Unclaimed Profile

James Walter Shay

CETERA INVESTMENT ADVISERS LLC·SCHAUMBURG, Illinois

CETERA INVESTMENT ADVISERS LLC

200 NORTH MARTINGALE ROAD, SCHAUMBURG, IL 60173-2096CRD# 3247381Firm CRD# 105644

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Walter Shay · SCHAUMBURG, IL

Registration

CRD #3247381 · CETERA INVESTMENT ADVISERS LLC

Brand Profile

Not yet started

Disclosure history

14 disclosures on file · See FINRA BrokerCheck for full record

About

James Walter Shay is a registered financial advisor based in SCHAUMBURG, Illinois, affiliated with CETERA INVESTMENT ADVISERS LLC. This profile is generated from public SEC and FINRA registration data.

Focus Areas

Specialties

Financial Planning

Investment Management

Wealth Management

Client Types

Individuals

High Net Worth Individuals

Nonprofits & Foundations

Introduction

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Firm Overview

Firm

CETERA INVESTMENT ADVISERS LLC

AUM

$104.5B

Regulatory assets under management

Employees

6648

Total firm employees

View all advisors at CETERA INVESTMENT ADVISERS LLC →

Services

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Background

Compensation

Percentage of AUM

Hourly charges

Subscription fees

Regulatory

SEC/IARD CRD# 3247381

Firm CRD# 105644

View on FINRA BrokerCheck →

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Frequently Asked Questions

What services does James Walter Shay offer?

James Walter Shay specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SCHAUMBURG, Illinois for a consultation.

What are James Walter Shay's credentials?

James Walter Shay is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Walter Shay located?

James Walter Shay is based in SCHAUMBURG, Illinois, working with CETERA INVESTMENT ADVISERS LLC. Their office serves clients in the SCHAUMBURG metropolitan area and surrounding communities.

How does James Walter Shay charge for services?

James Walter Shay's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CETERA INVESTMENT ADVISERS LLC?

CETERA INVESTMENT ADVISERS LLC has approximately 6648 employees and manages $104.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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