James Frederick Shafferman

Employer firm

Edward Jones CRD 250

$1.01T regulatory AUM 28,751 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → 03/2018
  Capital One Investing, Llc
  Metairie, LA
• 08/2016 → 03/2018
  Capital One Advisors, Llc
  Metairie, LA
• 03/2018 → Present
  Edward Jones
  St. Louis, MO

Previous Registrations

• 2016-09-06 → 2018-04-04
  Capital One Advisors, Llc
  Metairie, LA
  Mclean, VA
  Metairie, LA
• 2013-01-18 → 2016-08-18
  Ubs Financial Services Inc.
  Clayton, MO
  New Orleans, LA
• 2010-01-29 → 2013-01-22
  Wells Fargo Clearing Services, Llc
  Metairie, LA

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-09-02
• S63 Uniform Securities Agent State Law Examination
  2009-01-12

Other Names

• James Frederick Shafferman
• James Frederick Shafferman
• James Iii,James Shafferman Iii
• James F Shafferman