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James Bashaw

Independent Financial Group, LLC
39 Years of Experience
Houston, TX
7 DisclosuresBroker
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James Bashaw is a registered investment advisor at Independent Financial Group, LLC, based in Houston, TX, with 39 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 44,045 clients with $11B in assets under management.

Independent Financial Group, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
538 advisors
Number of Clients
44,045 clients
Average Client Portfolio
$257K average
Assets Under Management
$11.3B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)

IFG offers investment management through various programs, including AccessPoint, Custom Asset Management, and Third Party Asset Managers. Fees are based on a percentage of the value of your account and are negotiable. Transaction charges may also apply. The maximum advisory fee is 3.00% per year. IFG and its IARs may receive additional compensation from product sponsors, which creates a conflict of interest.

View Full SEC Brochure

Location

5701 Woodway Drive #330, Houston, TX, 77057

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History

Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
April 2019
Final
Financial
November 2017
Pending
Judgment / Lien
February 2017
Customer Dispute
September 2016
Settled
Employment Separation After Allegations
September 2014
Customer Dispute
April 2012
Settled
Customer Dispute
June 1988
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is an officer/director of James E. Bashaw & Co. and JEB & Co., both DBAs for marketing purposes, dedicating full-time hours to each. He also engages in referral services, owns a hunting camp, serves on boards, volunteers, is an author, a notary, and provides consulting, all requiring minimal time.

Employment History
Current Registrations
Independent Financial Group, LLC
April 2022 - Present · 4 yrs 3 mos
Independent Financial Group, LLCBroker
March 2022 - Present · 4 yrs 4 mos
Previous Registrations
International Assets Investment Management, LLC
January 2016 - April 2022 · 6 yrs 3 mos
International Assets Investment Management, LLC
April 2015 - December 2015 · 8 mos
International Assets Advisory, LLCBroker
October 2014 - April 2022 · 7 yrs 6 mos
Wunderlich Securities, INC.Broker
September 2014 - October 2014 · 1 mo
Wunderlich Securities, INC.
September 2014 - October 2014 · 1 mo
James E.bashaw & CO.
June 2005 - July 2013 · 8 yrs 1 mo
LPL Financial LLC
November 2001 - October 2014 · 12 yrs 11 mos
LPL Financial LLCBroker
November 2001 - October 2014 · 12 yrs 11 mos
UBS Painewebber INC.Broker
August 2000 - November 2001 · 1 yr 3 mos
J.C. Bradford & CO.Broker
April 1998 - August 2000 · 2 yrs 4 mos
Suntrust Equitable SecuritiesBroker
April 1994 - April 1998 · 4 yrs
Augusta Securities CORP.Broker
August 1991 - April 1994 · 2 yrs 8 mos
Thomas F. White & CO., IncorporatedBroker
January 1991 - July 1991 · 6 mos
First America Equities CORP.Broker
March 1990 - September 1991 · 1 yr 6 mos
Kidder, Peabody & CO. IncorporatedBroker
October 1986 - June 1988 · 1 yr 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1984 - October 1986 · 2 yrs 4 mos
State Registrations10 states
COGALAMDMSNMOHPATXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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