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James Alton Shanks

Cwm, LLC

Omaha, NE

Omaha, NE

CRD 7682960

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Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

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

Current Employers
Cwm, Llc

14600 Branch St., Omaha, NE 68154 • United States

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2023-08-15
  • NE RA
    APPROVED
    Since 2023-08-15

Branch Locations

14600 Branch St., Omaha, NE 68154 • United States

14600 Branch Street, Omaha, NE 68154 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Blue Cross And Blue Shield Of Alabama Birmingham AL 02/1998 01/2023
Carson Group Omaha NE 01/2023 Present
Cwm, Llc Omaha NE 07/2023 Present
  • 02/1998 → 01/2023
    Blue Cross And Blue Shield Of Alabama
    Birmingham, AL
  • 01/2023 → Present
    Carson Group
    Omaha, NE
  • 07/2023 → Present
    Cwm, Llc
    Omaha, NE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-09-10
  • S65 Uniform Investment Adviser Law Examination
    2021-09-10

View on SEC IAPD

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