JB
James E. Bashaw
INDEPENDENT FINANCIAL GROUP
Houston, TX 77057
Some features on this profile are disabled
CRD#: 1251491
JB
Professional summary
James Edward Bashaw, who also goes by Jeb Bashaw, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Houston, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 53 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeb Bashaw
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.
(1) JAMES E. BASHAW & CO. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 11/01/2001 ADDRESS: 5701 Woodway Drive #330, Houston TX 77057, United States DESCRIPTION: DBA for marketing purposes. (2) REFERRAL SERVICES POSITION: Independent Contractor NATURE: Referral Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 504 Asbury St., Houston TX 77007, United States DESCRIPTION: Referrals to Commerce bank . (3) BSK LEASE MANAGEMENT POSITION: Owner NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 504 Asbury St., Houston TX 77007, United States DESCRIPTION: Hunting camp. (4) CATHOLIC ENDOWMENT FOUNDATION OF GALVESTON HOUSTON POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: 1700 San Jacinto, Houston TX 77002, United States DESCRIPTION: Provide board level oversight and advice. (5) HOUSTON LIVESTOCK SHOW AND RODEO POSITION: Volunteer NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2000 ADDRESS: 504 Asbury, Houston TX 77007, United States DESCRIPTION: Provide scholarships. (6) CATHOLIC CHARITES POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 2900 Louisiana St, Houston TX 77006, United States DESCRIPTION: Advisory director and volunteer. (7) AUTHOR, JEB BASHAW POSITION: Author NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 504 Asbury St., Houston TX 77077, United States DESCRIPTION: Write & publish books. (8) JEB & CO. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2001 ADDRESS: 5701 Woodway Drive #330, Houston TX 77057, United States DESCRIPTION: DBA for marketing purposes. (9) NOTARY POSITION: Independent Contractor NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2001 ADDRESS: 5701 Woodway Drive #330, Houston TX 77057, United States DESCRIPTION: Notary Services. (10) SIGNUP RX SOLUTIONS LLC POSITION: Independent Contractor NATURE: Referral Services INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/15/2024 ADDRESS: 504 Asbury, Houston TX 77007, United States DESCRIPTION: Provide consulting to businesses on drug plans for employees (11) POSITION: Independent Contractor NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/25/2024 ADDRESS: 504 Asbury, Houston TX 77007, United States DESCRIPTION: Perform marriages THE DOCTORS ADVISOR POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 12/03/2024 ADDRESS: 5701 Woodway Drive #330, Houston TX 77057, United States DESCRIPTION: WE are marketing to doctors through an IFG approved platform MIPROSPECT POSITION: Independent Contractor NATURE: Referral Services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 05/30/2025 ADDRESS: 5701 Woodway Drive #330, Houston TX 77057, United States DESCRIPTION: Referring small business owners for IT app GMR GOLD POSITION: Independent Contractor NATURE: Referral Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/14/2025 ADDRESS: 504 Asbury, Houston TX 77007, United States DESCRIPTION: Refer people who want to open a gold IRA or Pension plan
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Bashaw's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edward Bashaw's 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®
NoneExperience
Current
April 13, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 5701 Woodway Drive #330, Houston, TX 77057RIA
BD
CRD#: 7717
Houston, TX
Current
March 31, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 5701 Woodway Drive #330, Houston, TX 77057RIA
BD
CRD#: 7717
Houston, TX
Past
January 7, 2016 - April 12, 2022
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
HOUSTON, TX
Past
April 1, 2015 - December 31, 2015
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
HOUSTON, TX
Past
October 29, 2014 - April 12, 2022
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
HOUSTON, TX
Past
September 29, 2014 - October 9, 2014
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
HOUSTON, TX
Past
September 29, 2014 - October 17, 2014
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
HOUSTON, TX
Past
June 17, 2005 - July 10, 2013
JAMES E.BASHAW & CO.
RIA
CRD#: 129320
HOUSTON, TX
Past
November 20, 2001 - October 3, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
November 9, 2001 - October 3, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
August 14, 2000 - November 16, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 28, 1998 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
April 21, 1994 - April 21, 1998
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
August 7, 1991 - April 19, 1994
CAPNET SECURITIES CORPORATION
BD
CRD#: 23669
HOUSTON, TX
Past
January 9, 1991 - July 9, 1991
ACUMENT SECURITIES, INC.
BD
CRD#: 7661
SAN FRANCISCO, CA
Past
March 26, 1990 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
BD
CRD#: 7652
Past
October 7, 1986 - June 17, 1988
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
Past
June 20, 1984 - October 16, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(2/1/2023)
RR
Georgia(6/14/2022)
RR
Louisiana(3/31/2022)
RR
Maryland(4/1/2022)
RR
Mississippi(12/13/2022)
RR
Ohio(12/13/2022)
RR
Pennsylvania(4/13/2022)
RR
Texas(4/13/2022)
IAR
Texas(4/13/2022)
RR
Washington(12/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 10/2/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/30/1997
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
