James Shumway, financial advisor Saint George UT
96 score

James Shumway

CRD Number: 1200901
Current Firm: Soltis Investment Advisors, LLC

James Shumway (CRD# 1200901) is an Investment Advisor Representative working at Soltis Investment Advisors, LLC in Saint George, UT and has over 18 years of experience in the finance industry. James Shumway has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Dalton Strategic Investment Services Knightstown, IN Sep 2011 - Current 5
Soltis St. George, UT Dec 1998 - Current 17
Acap Financial Salt Lake City, UT Aug 2011 - Sep 2011 < 1
Innovative Financial Services-self American Fork, UT Oct 1996 - Sep 2011 14
Intermountain Financial Services, Inc. Heber, UT Oct 2007 - Jun 2011 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2007
S65 NASAA Investment Advisors Law Examination Nov 1997
Contact Info for James G. Shumway
Phone Number: 435-674-1600
Registered State(s):
  • UT
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States


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Clean Record
This advisor has a clean track record with regulators.

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