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JAMES RICHARD SHAVER
JAMES R SHAVER
CRD#: 1769162
IA
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OSAIC WEALTH, INC.CRD#: 23131 490 NORTH 31 ST STREET
SUITE 217
BILLINGS, MT 59101
SUITE 217
BILLINGS, MT 59101
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Disclosures
37
Years of Experience
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State Registrations
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Arizona 6/8/2022
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Nevada 6/8/2022
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California 6/8/2022
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New York 6/8/2022
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Kansas 6/8/2022
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South Dakota 6/8/2022
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Montana 6/8/2022
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Washington 6/8/2022
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Montana 6/8/2022
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Wyoming 6/8/2022
SRO Registrations
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Registered with this firm since 6/8/2022
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Registered with this firm since 6/8/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/20/2022 - 07/07/2022 | BILLINGS, MT | |
B | 04/20/2022 - 07/01/2022 | BILLINGS, MT | |
IA | 06/26/2009 - 04/20/2022 | BILLINGS, MT | |
B | 06/26/2009 - 04/20/2022 | BILLINGS, MT | |
IA | 06/01/2009 - 07/01/2009 | BILLINGS, MT | |
B | 06/01/2009 - 07/01/2009 | BILLINGS, MT | |
IA | 04/07/1999 - 06/01/2009 | BILLINGS, MT | |
B | 02/16/1999 - 06/01/2009 | BILLINGS, MT | |
B | 12/22/1987 - 03/02/1999 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.