James Shafer, CFP® has been a financial professional since 2007, following a 16-year career in store operations for a prominent retailer. His interest in business and finance has been lifelong, leading him to earn a bachelor's degree in business administration with a minor in computer science and emphasis in economics. James is a Registered Representative and Investment Adviser Representative, holding the Series 7 and 66 licenses as well as Texas General Lines Agent for life, health, and variable contracts. In 2016, James became a CERTIFIED FINANCIAL PLANNER™ licensee.
A strong belief in family and community, James has been married for 25 years and has two sons. Over the years, James has been active in the Amarillo community through several charities and clubs. James is an avid golfer, enjoys camping and being outdoors with family.
Momentum Independent Network is an independent broker-dealer and Registered Investment Adviser serving wealth management professionals and their clients across the nation. We've built our business on a commitment to providing advisors with customized solutions and personal service. We have the resources and experience to help advisors grow their practice on their terms, while focusing on the needs of their clients.
Originally founded in 1986 as Broker Transaction Services, our firm is a sister company of Hilltop Securities Inc., through which it clears its securities business, and a wholly owned subsidiary of Hilltop Holdings Inc. (NYSE: HTH). As part of Hilltop Holdings, a well-capitalized and publicly traded parent company, we're backed by a strong and diverse financial services enterprise. One that's focused on moving our clients forward. Nothing better represents this than our iconic buffalo mascot, Mo, a symbol of our collective strength, unified force, and the unstoppable momentum of an advancing herd.
General Information |
| Firm Start Year: | 2011 | |
| States Licensed in: | TX, AR,OK,LA,MO,MI,NM |
| Number of Years with Current Firm: | 13 |
| Work with the following types of clients: | Businesses, Individual Investors |
| Advisory Services Provided: | Financial Planning for Individuals, Financial Planning for Businesses, Education Funding and Planning, Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning |
Services |
| Investment Types: | Stocks, Bonds, Mutual Funds, Annuities, Exchange Traded Funds (ETFs) |
| Can meet clients in the following ways: | Our Office, Video Conference, Phone |
Qualifications & Memberships |
| Insurance and Annuity Licenses: | Long Term Care, Variable Annuity, Annuity |
Compensation and Fees |
| Fee Structure: | Fee-Based |
| Minimum Portfolio Size for New Managed Accounts: | $500,000 |
| Compensation Methods: | Commissions, Based on Assets, Flat Fee |
| Minimum Fee Charged for Managed Accounts: | $5000 |
Education |
| Bachelor of Science - Business Administration | University of the Ozarks - Clarksville, AR 08/01/1989-07/23/1993 |
Disclosures |
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WiserAdvisor provides referrals to financial professionals. WiserAdvisor is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest. Click Here to View Momentum Independent Network Inc. Disclosures |
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Additional Detailed Disclosures |
Disclaimer |
| James Shafer is a registered representative and investment advisor representative of Momentum Independent Network Inc. (MIN), member FINRA/SIPC. MIN is a registered broker-dealer and registered investment adviser that does not provide tax or legal advice. This website is only intended for clients and interested investors residing in states in which MIN or its financial advisors are qualified to provide brokerage services or investment advisory services. MIN does not attempt to furnish personalized investment advice or services through this website. Certain places on this site offer direct access or "links" to other websites that contain information that was created, published, maintained, or otherwise posted by institutions or organizations independent of MIN. MIN does not endorse, approve, certify or control these websites and does not assume responsibility for the accuracy, completeness or timeliness of the information located therein. Visitors to these sites should not use or rely on the information contained therein until after consulting with an independent finance professional. MIN does not necessarily endorse or recommend any commercial product or service described on these independent sites. For informational only and is not a recommendation. MIN is a wholly owned subsidiary of Hilltop Holdings, Inc., (NYSE:HTH) with offices at 717 N. Harwood Street, Suite 3400, Dallas, TX 75201 (214) 859-1800. Past performance is no guarantee of future results. None of the named entities, herein, are affiliated.www.momentumin.com |
Registered Representative:
Yes
Investment Advisor Representative:
Yes
Acknowledged fiduciary:
Yes
Compliance Disclosures in Last 5 years:
I have a clean record
Criminal Disclosures in Last 5 years:
I have a clean record
| Texas | Oklahoma |
| Arkansas | Louisiana |
| New Mexico | Michigan |
| Missouri | |
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