James Shoffner

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

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

Current Employers

Employment History

• 08/2010 → Present
  Wells Fargo Advisors Financial Network Llc
  Denver, CO

Previous Registrations

• 2009-06-01 → 2010-08-30
  Morgan Stanley
  Denver, CO
• 2007-05-18 → 2009-06-01
  Morgan Stanley & Co. Llc
  New York, NY
  Denver, CO
• 2000-03-07 → 2007-06-05
  Ubs Financial Services Inc.
  Denver, CO
  Denver, CO
  Denver, CO

Other Businesses

TRUSTEE FOR FINET PRACTICE 401L & DBP; INV. RELATED; DENVER, CO; START DATE 1/2012; 1 HR PER MONTH; 1 HR DURING TRADING. SHOFFNER PRIVATE WEALTH MANAGEMENT 401K AND DBP; INV. RELATED; DENVER, CO; START DATE: 6/1/2021.

Exams

• S66 Uniform Combined State Law Examination
  2000-05-04
• S65 Uniform Investment Adviser Law Examination
  1992-11-30
• S63 Uniform Securities Agent State Law Examination
  1992-06-30

Other Names

• Jay Shoffner
• James Preston Shoffner
• Jr James Shoffner Jr.
• James P. Shoffner
• James P Shoffner
• James P Shoffner Jr.
• James Preston Shoffner Jr.
• James P. Shoffner Jr.