James William Humphries
Investment adviser representative at Mindset Asset Management, LLC
11 yearsExperience
1 stateRegistered in
$0Firm assets
1 yearFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
Experience
11 years in the industry.
- Mindset Asset Management, LLCSep 2025 to now
- Mindset Wealth Management, LLCMar 2024 to now
- Salzinger Sheaff Brock, LLCNov 2023 to Mar 2024
- Innovative PortfoliosDec 2018 to Mar 2024
- Sheaff Brock Investment Advisors, LLCApr 2015 to Mar 2024
Exams passed
- Series 63 · Uniform Securities Agent State Law2010
- Series 66 · Uniform Combined State Law2015
State registrations
Registered as an investment adviser representative in 1 state (IN).
Mindset Asset Management, LLC
$0Assets managed
0Clients
4Advisers
1 yearIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5829072
- Firm CRD
- 338530