James M. Poindexter

INDEPENDENT WEALTH NETWORK

Prescott, AZ 86301

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CRD#: 1867899

Professional summary

James Michael Poindexter, CFP®, ChFC®, CLU® is a registered financial advisor currently at INDEPENDENT WEALTH NETWORK, INC. located in Prescott, Arizona and MCDERMOTT INVESTMENT SERVICES, LLC located in Prescott, Arizona.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. JMP Legacy Properties, LLC; MEMBER/OWNER; LLC MANAGES PERSONALLY OWNED REAL ESTATE PROPERTIES; DEVOTE APPROX. 2 HRS/WEEK. 2. ERN REAL ESTATE; PRESCOTT, AZ; NOT INVESTMENT-RELATED; REAL ESTATE AGENT; DEVOTE 0 HRS/WEEK. 3. POINDEXTER FINANCIAL GROUP, LLC; PRESCOTT, AZ; SINCE 1/1/1995; OWNER /PRESIDENT - SALES AND CONSULTING (FIXED INSURANCE SALES, BUSINESS PLANNING, TRUST PREPARATION SERVICES WITH LICENSED ATTORNEY); DEVOTE VARYING AMOUNT OF HRS/WEEK. 4. THE FINANCIAL COACH; PRESCOTT, AZ; NOT INVESTMENT-RELATED; SINCE 2008; OWNER; DBA WITH NO CURRENT CONTRACTS/ACTIVITY; DEVOTE 0 HRS/WEEK. 5. TRUST ORIGINATION CONSULTING WITH RONALD COMPTON PC; MESA, AZ; NOT INVESTMENT-RELATED; CONSULTANT; TRUST PREPARATION CONSULTING; DUTIES INCLUDE TRUST CONSULTING; DEVOTE 1 HR/WEEK 6. PRESCOTT LAKES COMMERCIAL ASSOCIATION (HOA); PRESCOTT, AZ; SINCE 2013; NOT INVESTMENT-RELATED; VOLUNTEER BOARD MEMBER - PROPERTY ASSOCIATION; DEVOTE 0 HRS/WEEK 7. POIPU SANDS CONDOMINIUM ASSOCIATION (HOA); NOT INVESTMENT RELATED; VOLUNTEER BOARD MEMBER; PROPERTY ASSOCIATION; 5 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Poindexter'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: 2000

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

October 2, 2017 - Present

INDEPENDENT WEALTH NETWORK, INC.

Office #1: Poindexter Financial Group 1965 Commerce Center Circle, Ste D, Prescott, AZ 86301

RIA

CRD#: 286262

Prescott, AZ

Current

January 3, 2019 - Present

MCDERMOTT INVESTMENT SERVICES, LLC

Office #1: 1965 Commerce Center Circle Suite D, Prescott, AZ 86301

CRD#: 154926

Prescott, AZ

Past

September 8, 2017 - January 7, 2019

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

Prescott, AZ

Past

December 17, 2015 - September 29, 2017

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

PRESCOTT, AZ

Past

December 7, 2015 - September 11, 2017

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

PRESCOTT, AZ

Past

November 6, 2015 - November 20, 2015

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

PRESCOTT, AZ

Past

April 13, 2010 - December 4, 2015

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

PRESCOTT, AZ

Past

March 12, 2010 - December 4, 2015

CENTAURUS FINANCIAL, INC.

CRD#: 30833

PRESCOTT, AZ

Past

February 23, 2009 - March 22, 2010

KALOS CAPITAL, INC.

CRD#: 44337

PRESCOTT, AZ

Past

February 22, 2005 - February 25, 2009

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

PRESCOTT, AZ

Past

February 7, 2005 - February 25, 2009

CENTAURUS FINANCIAL, INC.

CRD#: 30833

PRESCOTT, AZ

Past

August 1, 2000 - February 15, 2005

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

PRESCOTT, AZ

Past

January 26, 2000 - February 15, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

October 8, 1997 - February 9, 1999

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

September 28, 1995 - October 30, 1997

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

October 3, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

October 3, 1990 - September 15, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

November 9, 1989 - July 25, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 3, 1989 - November 10, 1989

CENPAC SECURITIES CORP.

CRD#: 16089

Past

September 29, 1988 - December 22, 1988

HIBBARD BROWN & CO., INC.

CRD#: 18246

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 WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Arizona
(10/4/2017)

Arizona
(1/7/2019)

California
(1/4/2019)

IAR

California
(1/4/2019)

IAR

Colorado
(1/14/2020)

Michigan
(12/5/2024)

New Mexico
(11/20/2023)

New York
(1/18/2019)

North Dakota
(1/4/2019)

IAR

Oregon
(2/3/2021)

Pennsylvania
(8/13/2025)

Texas
(7/6/2022)

IAR

Utah
(1/14/2020)

Utah
(7/5/2022)

IAR

Virginia
(3/18/2021)

Virginia
(3/22/2021)

IAR

Wyoming
(1/15/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/14/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/5/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 Terminated)

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Contact information

Main Address

2350 Nw 128th St, Urbandale, IA 50323

Mailing Address

Phone number

(515) 461-5123

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

250106 ADV 2A (1/6/2025)

Regulatory assets under management

Total Number of Accounts	2,626
AUM (Assets Under Management)	$ 422,577,169

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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James M. Poindexter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Poindexter's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCDERMOTT INVESTMENT SERVICES, LLC

INTEGRITY ALLIANCE, LLC.

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

BROKER DEALER FINANCIAL SERVICES CORP.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

KALOS CAPITAL, INC.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

AMERITAS INVESTMENT COMPANY, LLC

MML INVESTORS SERVICES, LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

LEHMAN BROTHERS INC.

CENPAC SECURITIES CORP.

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

INDEPENDENT WEALTH NETWORK, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/14/1988

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1988

Series 24

Date: 4/5/2005

FINRA

Current Firm

INDEPENDENT WEALTH NETWORK, INC.

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT WEALTH NETWORK, INC.

TRUST BUT VERIFY

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