Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Bashaw is an investment advisor representative at Independent Financial Group, LLC. James has been in the securities industry for over 37 years, and has a broad range of experience in providing investment advice. James is a Registered Representative and Investment Advisor Representative holding Series 3, 7, 8, 9, 10, 52, 53, 63, 65 licenses. James holds a variety of licenses including Municipal Securities Principal, General Securities Principal, General Securities Representative, and Investment Adviser Representative, all of which have been actively maintained. James has a strong understanding of the financial markets and a commitment to providing personalized investment advice to his clients. James is also an active member of the community, serving on the boards of several non-profit organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
04/13/2022 - Present
Independent Financial Group, LLC (Houston TX)
TX
10/29/2014 - 04/12/2022
INTERNATIONAL ASSETS ADVISORY, LLC (HOUSTON TX)
TX
09/29/2014 - 10/17/2014
WUNDERLICH SECURITIES, INC. (HOUSTON TX)
TX
11/09/2001 - 10/03/2014
LPL FINANCIAL LLC (HOUSTON TX)
NJ
08/14/2000 - 11/16/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
04/28/1998 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
GA
04/21/1994 - 04/21/1998
SUNTRUST EQUITABLE SECURITIES (ATLANTA GA)
TX
08/07/1991 - 04/19/1994
AUGUSTA SECURITIES CORP. (HOUSTON TX)
NA
03/26/1990 - 09/13/1991
FIRST AMERICA EQUITIES CORP.
CA
01/09/1991 - 07/09/1991
THOMAS F. WHITE & CO., INCORPORATED (SAN FRANCISCO CA)
NA
10/07/1986 - 06/17/1988
KIDDER, PEABODY & CO. INCORPORATED
NA
06/20/1984 - 10/16/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 05/12/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/13/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/30/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/02/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/2001
Series 3 - National Commodity Futures Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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