James C Shay

$6.49B regulatory AUM

Reported services (Item 5G)

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

5420 West 61St Place, Mission, KS 66205-3084 • United States

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2023-10-26

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Kansas City	MO	01/2016	09/2018
Bank Of America, N.A.	Kansas City	MO	10/2016	09/2018
Ubs Financial Services Inc	Kansas City	MO	09/2018	12/2022
Kornitzer Capital Management, Inc.	Mission	KS	01/2023	Present

01/2016 → 09/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Kansas City, MO
10/2016 → 09/2018

Bank Of America, N.A.

Kansas City, MO
09/2018 → 12/2022

Ubs Financial Services Inc

Kansas City, MO
01/2023 → Present

Kornitzer Capital Management, Inc.

Mission, KS

2018-10-02 → 2023-01-13

Ubs Financial Services Inc.

Leawood, KS
2016-04-14 → 2018-09-24

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Kansas City, MO

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-04-13

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