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James Grant Shumway MR.

James G. Shumway

SOLTIS INVESTMENT ADVISORS
ST. GEORGE, UT 84770
Some features on this profile are disabled
CRD#: 1200901
James Grant Shumway MR.

Professional summary

James Grant Shumway MR., CFP®, who also goes by Jim Shumway, is a registered financial advisor currently at SOLTIS INVESTMENT ADVISORS, LLC located in St. George, Utah.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. James has worked at 12 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jim Shumway

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Grant Shumway MR.'s CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 1999

Experience

Current

October 29, 2010 - Present

SOLTIS INVESTMENT ADVISORS, LLC

Office #1: 20 North Main St Suite 400, St. George, UT 84770
RIA
CRD#: 154690
ST. GEORGE, UT
Past

September 13, 2011 - March 30, 2015

DALTON STRATEGIC INVESTMENT SERVICES INC.

BD
CRD#: 23485
AMERICAN FORK, UT
Past

August 16, 2011 - January 23, 2013

ACAP FINANCIAL INC.

BD
CRD#: 7731
SALT LAKE CITY, UT
Past

September 28, 2010 - October 26, 2010

SOLTIS INVESTMENT ADVISORS, LLC

RIA
CRD#: 154690
ST. GEORGE, UT
Past

November 15, 2007 - June 27, 2011

INTERMOUNTAIN FINANCIAL SERVICES, INC.

BD
CRD#: 15386
AMERICAN FORK, UT
Past

May 16, 2002 - March 19, 2004

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

September 11, 2000 - May 15, 2002

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

January 1, 1999 - December 13, 2011

SOLTIS INVESTMENT ADVISORS, INC.

RIA
CRD#: 106134
AMERICAN FORK, UT
Past

January 6, 1997 - February 23, 1999

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

September 18, 1996 - December 20, 1996

WORKMAN SECURITIES CORPORATION

BD
CRD#: 31898
EDEN PRAIRIE, MN
Past

August 19, 1996 - December 31, 1996

BANNER FINANCIAL SERVICES GROUP

BD
CRD#: 22886
ROCKVILLE, MD
Past

January 9, 1996 - August 7, 1996

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

November 8, 1983 - December 31, 1988

PFS INVESTMENTS INC.

BD
CRD#: 10111

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SI
SOLTIS INVESTMENT ADVISORS, LLC
SOLTIS INVESTMENT ADVISORS, LLC

CRD#: 154690 / SEC#: 801-71833

RIA
Registered Investment Advisory firm - (9/20/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Utah
(10/29/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/2007
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/21/1997
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/30/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/14/2007
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SI
SOLTIS INVESTMENT ADVISORS, LLC
SOLTIS INVESTMENT ADVISORS, LLC

CRD#: 154690 / SEC#: 801-71833

RIA
Registered Investment Advisory firm - (9/20/2010 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
20 North Main Suite 400, St. George, UT 84770
Mailing Address
Phone number
(435) 674-1600
Established
Firm type
Fiscal year end
# of Employees
95

SEC notice filing (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SOLTIS BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts4,499
AUM (Assets Under Management)$ 8,352,553,865

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SOLTIS INVESTMENT ADVISORS, LLC

CRD#: 154690St. George, UT 84770

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