James William Humphries
Professional Summary
James William Humphries, who also goes by Louie Humphries, is a registered financial advisor currently at MINDSET WEALTH MANAGEMENT, LLC located in Indianapolis, Indiana and MINDSET ASSET MANAGEMENT, LLC located in Indianapolis, Indiana. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. James has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Louie Humphries
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
MINDSET WEALTH MANAGEMENT, LLC
Contact Information
Main Address
8275 Allison Pointe Trail Suite 230, Indianapolis, IN 46250Phone Number
(317) 348-4655# of Employees
4SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
276AUM (Assets Under Management)
$445,495,566Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
MINDSET WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(5/8/2024)
(5/9/2024)
(4/2/2024)
(6/10/2024)
(7/10/2026)
(5/8/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2014About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2013About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James William Humphries's CRS (Customer Relationship Summary).
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