James Boswell has been an investment adviser representative at Ferguson Shapiro since January 2020, and is not listed among the firm’s executive officers or direct owners.
Ferguson Shapiro LLC is a Decatur, GA firm with $415M under management, 332 clients and 5 advisers across 3 offices, as of its May 2026 filing.
James Boswell’s longest registration is the current one, 6 years at Ferguson Shapiro since 2020. Before joining Ferguson Shapiro in 2020, James Boswell was registered through Axa Advisors, LLC.
- Ferguson Shapiro LLCCurrent– present · 6 yearsOrlando, FL · Adviser representative · Firm CRD 297555
- Axa Advisors, LLC– · under a yearDecatur, GA · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
James Boswell is registered as an investment adviser representative in 2 states. The first approvals date from January 2020; the most recent is Florida, in July 2024.
- FloridaSince 24 July 2024
- GeorgiaSince 8 January 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 18 December 2017 |
| Series 7 | General Securities Representative Examination | 8 August 2017 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 6816944
- Firm
- Ferguson Shapiro · CRD 297555
- Office
- Orlando, FL
- Registration
- Investment adviser registration
- In the industry since
- January 2019
- Disciplinary history
- Not yet shown here · SEC record
Where does James Boswell work?
James Boswell is an investment adviser representative registered through Ferguson Shapiro LLC since January 2020, and is not listed among the firm’s executive officers or direct owners.
Is James Boswell a financial advisor?
Yes. James Boswell has a current investment-adviser registration in Florida and Georgia, through Ferguson Shapiro since January 2020.
How many years of experience does James Boswell have?
James Boswell has 7 years in the financial industry, since January 2019, across 2 adviser firms.
What exams has James Boswell passed?
James Boswell has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in August 2017. FINRA credited James Boswell with the SIE, which began in October 2018.
Where did James Boswell work before Ferguson Shapiro?
Before Ferguson Shapiro, James Boswell was registered through Axa Advisors, LLC, May 2018 to July 2018.
Where is James Boswell based?
James Boswell’s registered office is in Orlando, FL.
Is James Boswell registered with FINRA?
No. James Boswell has no current broker registration.
How can I verify James Boswell’s record?
Search CRD 6816944 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Boswell’s full registration record.
