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Adviser and broker representative · Cetera Investment Advisers LLC

James F. Shaw

CRD 4332335 · Naples, FL

At a glance

James F. Shaw is an investment adviser representative with Cetera Investment Advisers LLC in Naples, FL, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on James’s SEC record dates to 2021, about 5 years ago. James is also registered as a broker representative. Designations on file: Personal Financial Specialist.

Current advisory firms

  • Cetera Investment Advisers LLCSince August 2025Naples, FL · $257B in regulatory assets
  • Dkcb Financial Advisors, LLCSince June 2021Rochester, NY · State-registered or not in the SEC’s list
  • Davie Kaplan Wealth Care Advisors, LLCSince June 2021Rochester, NY · State-registered or not in the SEC’s list

SEC adviser record

Registered since
2021 (5 years)
Designations
Personal Financial Specialist
Exams
Series 66
Registered in
2 states
Also a broker representative
Yes
Disclosures on record
None

AtlasMembers

James’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
1 firmLocked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.