James L. Mcnaughton
MOMENTUM INDEPENDENT NETWORK
Sioux City, IA 51101
Some features on this profile are disabled
CRD#: 4735809
Professional summary
James Lee Mcnaughton, CFP®, who also goes by James Mcnaughton, is a registered financial advisor currently at MOMENTUM INDEPENDENT NETWORK INC. located in Sioux City, Iowa.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Mcnaughton
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] MCNAUGHTON INVESTMENTS - NON-INVESTMENT RELATED - Sioux City, IA - INSURANCE AND FIXED ANNUITY SALES - PRESIDENT - 07/15/2009 - 10 HRS/MO DURING NON-BUSINESS HOURS - 0 HRS/MO DURING BUSINESS HOURS. 2] McNaughton Real Estate LLC; non-investment related; Sioux City, IA; Owner; Started 06/01/2020; 1 hr/mo; zero hr/mo during business hours; this is a real estate holding company that owns a portion of the building in which I operate and receives rent income from advisors in my office. 3] MCNAUGHTON Wealth Management - NON-INVESTMENT RELATED - Sioux City, IA - INSURANCE AND FIXED ANNUITY SALES - Owner/PRESIDENT - 01/01/2023 - 10 HRS/MO DURING NON-BUSINESS HOURS - 5 HRS/MO DURING BUSINESS HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view James Lee Mcnaughton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Lee Mcnaughton'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®
CFP®
Start date: 2015
Experience
Current
January 22, 2009 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 302 Jones St Ste 340, Sioux City, IA 51101RIA
BD
CRD#: 17587
Sioux City, IA
Current
January 22, 2009 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 302 Jones St Ste 340, Sioux City, IA 51101RIA
BD
CRD#: 17587
Sioux City, IA
Past
January 1, 2008 - February 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SIOUX CITY, IA
Past
January 1, 2008 - February 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SIOUX CITY, IA
Past
June 28, 2004 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SIOUX CITY, IA
Past
June 10, 2004 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SIOUX CITY, IA
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
Alabama(1/3/2024)
RR
Arizona(1/22/2009)
IAR
Arizona(2/2/2009)
RR
California(4/28/2022)
IAR
California(9/22/2022)
RR
Colorado(1/22/2009)
IAR
Colorado(1/23/2009)
RR
Connecticut(5/28/2025)
IAR
Connecticut(5/28/2025)
RR
Florida(12/22/2009)
IAR
Florida(8/28/2017)
RR
Georgia(2/25/2020)
IAR
Georgia(9/23/2022)
RR
Idaho(4/13/2020)
RR
Illinois(12/22/2009)
RR
Indiana(7/13/2022)
RR
Iowa(1/22/2009)
IAR
Iowa(1/22/2009)
RR
Kansas(1/22/2009)
IAR
Kansas(1/27/2009)
RR
Louisiana(4/1/2019)
IAR
Louisiana(4/2/2019)
IAR
Maryland(6/29/2016)
RR
Maryland(12/20/2016)
RR
Michigan(7/2/2024)
RR
Minnesota(3/20/2009)
IAR
Minnesota(4/4/2017)
RR
Mississippi(8/31/2021)
IAR
Mississippi(9/10/2021)
RR
Missouri(12/22/2009)
IAR
Missouri(4/18/2011)
IAR
Montana(11/16/2020)
RR
Nebraska(1/22/2009)
IAR
Nebraska(3/25/2009)
RR
New Hampshire(5/9/2022)
RR
New Jersey(1/18/2023)
IAR
New Jersey(1/18/2023)
RR
New York(5/5/2022)
RR
North Carolina(12/22/2009)
IAR
North Carolina(12/14/2016)
RR
North Dakota(6/20/2024)
RR
Oklahoma(7/2/2014)
IAR
Oklahoma(6/3/2019)
RR
Oregon(6/20/2024)
RR
Pennsylvania(8/12/2022)
RR
South Dakota(1/22/2009)
IAR
South Dakota(3/16/2009)
RR
Tennessee(6/20/2024)
RR
Texas(12/22/2009)
IAR
Texas(2/22/2019)
RR
Utah(8/1/2022)
RR
Virginia(12/22/2009)
IAR
Virginia(7/5/2017)
RR
West Virginia(5/5/2022)
RR
Wisconsin(3/31/2010)
RR
Wyoming(6/20/2024)
Exams
State Security Law 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.
Company Information
MOMENTUM INDEPENDENT NETWORK INC.
CRD#: 17587Sioux City, IA 51101TRUST BUT VERIFY
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