James G. Shumway

SOLTIS INVESTMENT ADVISORS

ST. GEORGE, UT 84770

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CRD#: 1200901

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.

AFFILIATED WITH SOLTIS INVESTMENT ADVISORS. A REGISTERED INVESTMENT ADVISOR IN ST. GEORGE UTAH. I HOLD NO POSITION WITH THEM. SOLICIT BUSINESS FOR THEM. STARTED THE RELATIONSHIP IN 1998. PRIMARILY OFFER A 401K SOLUTION TO BUSINESSES THROUGH SOLTIS. I ALSO OFFICE WITH, AND PLACE A SMALL AMOUNT OF INSURANCE BUSINESS THROUGH "SIG". I DO NOT DEVOTE SPECIFIC TIME TO THIS ENTERPRISE, JUST TAKE AND GIVE THE OCCASIONAL REFERRAL. THIS IS NOT INVESTMENT RELATED. I HAVE A SMALL OWNERSHIP POSITION IN "TUSKERBLU". THIS COMPANY WILL ENDEAVOR TO MARKET COMPUTER DISCS FOR A NON PUBLIC COMPANY CALLED MILLENNIATA. NOT SECURITIES RELATED.

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 Suite 400, St. George, UT 84770

RIA

CRD#: 154690

ST. GEORGE, UT

Past

September 13, 2011 - March 30, 2015

DALTON STRATEGIC INVESTMENT SERVICES INC.

CRD#: 23485

AMERICAN FORK, UT

Past

August 16, 2011 - January 23, 2013

ACAP FINANCIAL INC.

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.

CRD#: 15386

AMERICAN FORK, UT

Past

May 16, 2002 - March 19, 2004

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

September 11, 2000 - May 15, 2002

JOHN HANCOCK DISTRIBUTORS LLC

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.

CRD#: 15840

EL SEGUNDO, CA

Past

September 18, 1996 - December 20, 1996

WORKMAN SECURITIES CORPORATION

CRD#: 31898

EDEN PRAIRIE, MN

Past

August 19, 1996 - December 31, 1996

BANNER FINANCIAL SERVICES GROUP

CRD#: 22886

ROCKVILLE, MD

Past

January 9, 1996 - August 7, 1996

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

November 8, 1983 - December 31, 1988

PFS INVESTMENTS INC.

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".

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

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

SIE

Date: 3/30/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/14/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SOLTIS INVESTMENT ADVISORS, LLC

CRD#: 154690 / SEC#: 801-71833

RIA

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

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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

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOLTIS BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,499
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.

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Advisor Monitoring

Firm Stability Insights

James G. Shumway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

DALTON STRATEGIC INVESTMENT SERVICES INC.

ACAP FINANCIAL INC.

SOLTIS INVESTMENT ADVISORS, LLC

INTERMOUNTAIN FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

JOHN HANCOCK DISTRIBUTORS LLC

SOLTIS INVESTMENT ADVISORS, INC.

WALNUT STREET SECURITIES, INC.

WORKMAN SECURITIES CORPORATION

BANNER FINANCIAL SERVICES GROUP

WMA SECURITIES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

SOLTIS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/2007

Series 65

Date: 11/21/1997

SIE

Date: 3/30/2015

Series 6

Date: 11/14/2007

Current Firm

SOLTIS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOLTIS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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