JB
James E. Beck
MOMENTUM INDEPENDENT NETWORK
Delray Beach, FL
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CRD#: 2063394
JB
Professional summary
James Edgar Beck is a registered financial advisor currently at MOMENTUM INDEPENDENT NETWORK INC. located in Delray Beach, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 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) Friends of Neuman - President - volunteer group of dedicated individuals who commit their time, talent and financial support to assist the Catholic Campus Ministry - Boca Raton, FL - Start 3/06/2019 - 0 hrs per mo during business hrs & 4 hrs during non-business hrs. Delray Beach FL 33445 - No conflicts of interest.
CRS (Client Relationship Summary) - RIA
Click below to view James Edgar Beck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edgar Beck'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
February 3, 2012 - Present
MOMENTUM INDEPENDENT NETWORK INC.
RIA
BD
CRD#: 17587
Delray Beach, FL
Current
February 3, 2012 - Present
MOMENTUM INDEPENDENT NETWORK INC.
RIA
BD
CRD#: 17587
Delray Beach, FL
Past
June 1, 2009 - February 8, 2012
MORGAN STANLEY
RIA
CRD#: 149777
DELRAY BEACH, FL
Past
June 1, 2009 - February 8, 2012
MORGAN STANLEY
BD
CRD#: 149777
DELRAY BEACH, FL
Past
June 26, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BOCA RATON, FL
Past
June 26, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BOCA RATON, FL
Past
November 21, 1995 - June 26, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 7, 1994 - March 17, 1995
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
January 27, 1994 - August 24, 1994
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
August 25, 1992 - January 11, 1994
DETWILER FENTON WEALTH MANAGEMENT INC
BD
CRD#: 16063
BOSTON, MA
Past
July 2, 1990 - July 27, 1992
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
July 2, 1990 - July 27, 1992
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas 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
Arkansas(10/27/2021)
IAR
Arkansas(10/27/2021)
RR
California(10/27/2021)
IAR
California(10/27/2021)
RR
Colorado(10/27/2021)
IAR
Colorado(10/27/2021)
RR
Florida(2/3/2012)
IAR
Florida(2/13/2012)
RR
Illinois(2/3/2012)
IAR
Illinois(2/3/2012)
RR
Kansas(10/27/2021)
RR
Montana(3/18/2025)
IAR
Montana(4/1/2025)
RR
New Jersey(10/27/2021)
IAR
New Jersey(10/29/2021)
RR
New Mexico(3/26/2025)
RR
New York(1/22/2013)
IAR
New York(10/28/2021)
RR
North Carolina(4/27/2025)
RR
Oregon(10/27/2021)
RR
Tennessee(10/27/2021)
RR
Texas(1/2/2025)
RR
Washington(10/27/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201
Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201
Phone number
(214) 859-1800
Established
Texas since 01/07/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
98
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | TREASURER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| MCCAFFREY, SCOTT EDWARD | MANAGING DIRECTOR - HEAD OF MOMENTUM INDEPENDENT NETWORK INC. | 3076398 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| MUSCHALEK, JOHN RICHARD | PRESIDENT | 2226859 |
| TEMPLE, WILLIAM BARRY | MUNICIPAL PRINCIPAL | 2357830 |
| WINGES, MARTIN BRADLEY | CEO | 1929509 |
| WINGES, MARTIN BRADLEY | CHAIRMAN OF THE BOARD | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 2,850 |
| AUM (Assets Under Management) | $ 1,337,377,801 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 07/26/2024 | ||
| 07/20/2023 |
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.
