James
Shafer

Hilltop Securities Independent Network Inc

CRD#5379121
Investment Advisor
in Dallas, TX
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About this Advisor

James Shafer is a certified financial planner based in Dallas, Texas, who has been in the advisory business for 25 years. Shafer currently works for Hilltop Securities Independent Network Inc. Their career trajectory has included roles at Sws Financial Services, Wal Mart Stores Inc, Waddell & Reed, Inc and Various Insurance Carriers For W&R Insurance Agencies. Shafer holds a Series 66 license, certifying them as both a securities agent and an investment advisor representative, and is able to work in Arkansas, Oklahoma, Texas, New Mexico and Louisiana. Hilltop Securities Independent Network Inc is a registered investment company headquartered in Dallas, Texas. The firm has offices in 93 locations and a total of 127 financial advisors. It administers $402 million in assets under management across its 1,747 accounts, placing it among the larger investment advisory firms in the United States by assets under management. The firm advises five charities and foundations. Hilltop Securities Independent Network Inc offers a diverse set of services, including portfolio management for individuals and small businesses, selection of other advisers, publication of newsletters and educational seminars. Fees for financial management largely vary depending on which services the firm provides the client. Fees charged by Hilltop Securities Independent Network Inc may include some blend of asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 66, Certified Financial Planner

Years of Experience

25 years

Services Offered

Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Others

Disclosures

No

Office Location

1201 Elm Street Suite 3500
Dallas, TX 75270

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Hilltop Securities Independent Network Inc Brokerage Details

Total Assets Under Management

$421,409,165

TX Average: $3,042,739,679
Total Number of Employees

122

TX Average: 49
Total Number of Accounts

1,920

TX Average: 2,315
Average Account Size

$219,484

TX Average: $1,314,358

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Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Educational seminars/workshops

James Shafer Work History

James has 25 years of experience.

2011 - Present (8 years)

Sws Financial Services

2008 - 2011 (3 years)

Various Insurance Carriers For W&R Insurance Agencies

2007 - 2011 (4 years)

Waddell & Reed, Inc

1993 - 2009 (16 years)

Wal Mart Stores Inc

Disclosures

James Shafer has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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