James Frederick Shaw

Current Employers

Employment History

• 01/2001 → 10/2019
  1St Global Capital Corp
  Rochester, NY
• 01/2001 → Present
  Dkcb Financial Advisors, Llc
  Rochester, NY
• 06/2005 → 09/2025
  Avantax Insurance Services, Inc.
  Rochester, NY
• 06/2007 → 10/2019
  1St Global Advisors, Inc.
  Rochester, NY
• 08/2007 → Present
  Davie Kaplan, Cpa, P.C.
  Rochester, NY
• 01/2001 → Present
  Davie Kaplan Welath Care Advisors, Llc
  Rochester, NY
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Rochester, NY
• 10/2023 → 09/2025
  Avantax Advisory Services
  Rochester, NY
• 08/2025 → Present
  Cetera Investment Advisers, Llc
  Schaumburg, IL
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Rochester, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Rochester, NY

Previous Registrations

• 2023-10-24 → 2025-09-05
  Avantax Advisory Services
  Rochester, NY
  Dallas, TX
  Naples, FL
  Rochester, NY
  Victor, NY

Other Businesses

1) TTEE fbo G. FAMILY TRUST POSITION: TRUSTEE NATURE: Investment trust. INV RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2007 ADDRESS: Rochester NY 14614, United States DESCRIPTION: Duties as stated in terms of trust. 2) TTEE fbo G.R.G TRUST FBO P.G. POSITION: MANAGER NATURE: Trustee for benefit of decedent's son. INV RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: Rochester NY 14614, United States DESCRIPTION: Duties as stated in terms of trust. 3) STREBESANA RESOURCES LLC POSITION: NY DIRECTOR NATURE: Consulting INV RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1993 ADDRESS: Rochester NY 14614, United States DESCRIPTION: accounting 4) GOUVERNET MANAGEMENT, LLC POSITION: Manager NATURE: Manager INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: Rochester NY 14614, United States DESCRIPTION: Reporting, pay bills; prepare tax returns. 5) TTEE fbo S.G. IRREVOCABLE LIFE INSURANCE TRUST POSITION: TTEE NATURE: TRUST INV RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2000 ADDRESS: Rochester NY 14614, United States DESCRIPTION: Duties as stated in terms of trust. 6) QUANTUM LOOP SOLUTIONS, INC POSITION: ADVISORY BOARD MEMBER NATURE: SOFTWARE DEVELOPMENT INV RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/12/2012 ADDRESS: Rochester NY 14614,DESCRIPTION: SOFTWARE 7) ASCRIBE INC POSITION: TREASURER NATURE: Laser Marking INV RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: Fairport NY DESCRIPTION: accounting 8) DKCB FINANCIAL ADVISORS, LLC POSITION: Investment Adviser Representative NATURE: Financial svcs INV RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2001 ADDRESS: Rochester NY 14614 DESCRIPTION: Referral - refer high net worth clients to RIA as appropriate 9) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC FORMERLY DKCB WEALTH CARE ADDVISORS, LLC POSITION: REFERRIG ADVISOR; NATURE: FINANCIAL SERVICES; INV RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 12/04/2014 ADDRESS: Rochester NY 14614, United States DESCRIPTION: Investment/financial services. 10) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (RIA) POSITION: Advisor NATURE: Financial Planning INV RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: ADDRESS: Rochester NY DESCRIPTION: Financial Planning 11) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (INSURANCE) POSITION: Advisor NATURE: Sales of Insurance products INV RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: ADDRESS: Rochester NY DESCRIPTION: Conducts Insurance Sales/Referral 12) EXECUTOR OF THE SUZANNE GOUVERNET ESTATE POSITION: Executor NATURE: executor of the estate. INV RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 09/01/2023 ADDRESS: 28 Main Street East, Suite 1000, Rochester NY 14614, DESCRIPTION: I will be executing Suzannes wishes as directed by her last will and testament, dated 2008. 13) SOMERSET HILLS HOA POSITION: Board Member NATURE: I prepare checks for signature by the Treasurer. Also perform bookkeeping tasks. INV RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/20/2024 ADDRESS: 348 Franlee Lane, Attention Somerset Hill HOA, Victor NY 14564, DESCRIPTION: prepare checks for signature by the Treasurer, perform bookkeeping tasks. 14)DAVIE KAPLAN, CPA, P.C.; CPA firm; Affiliated partner; NIR; 08/01/2007; Rochester NY 14614;

Exams

• S66 Uniform Combined State Law Examination
  2001-01-31

Designations

Other Names

• Jim Shaw