James Richard Wigen

Employer firm

Independent Financial Partners CRD 125112

$16.3B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Educational seminars
• NON-DISCRETIONARY INVESTMENT ADVICE

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2005 → Present
  Independent Financial Management Llc
  Plano, TX
• 06/2013 → Present
  Independent Financial Partners
  Ft Lauderdale, FL

Previous Registrations

• 2006-02-01 → 2013-06-21
  Whi Financial Services, Llc
  Frisco, TX
• 2005-05-10 → 2005-12-31
  Whi Financial Services, Llc
  Frisco, TX
• 2003-07-01 → 2005-05-24
  Wells Fargo Clearing Services, Llc
  Dallas, TX
• 2001-01-23 → 2003-07-01
  Prudential Equity Group, Llc
  Dallas, TX

Other Businesses

(1) 4/19/2022 Southern Methodist University-Not Investment Related - 5539 SMU Blvd., Dallas, TX 75206 - Instructor - Not Investment Related - Teach non credit financial course. Not for solicitation of business. 6 hrs/mo, 0 hr/mo during trading hours. (2) 11/1/2022 - Independent Financial Management, LLC -Investment Related - 5956 Sherry Lane, 20th Floor, Dallas, TX, 75225 - DBA Name and LLC Entity Ownership- Owner of Business - Business and name used for financial services business. 130 hrs/mo during trading hours. (3) James Wigen - not investment related - 3245 Main St., Ste 235-131, Frisco, TX 75034 - Fixed Insurance - owner - start date 2/15/2023 - 3 hr/month during trading (4) IFM+ - not investment related - 3245 Main St, 235-131,Frisco, TX 75034 - Notary Services - Owner - start date 4/27/2023 - 2 hours/month - Provide Notary Services (5) FINRA arbitrator program - investment related - 3245 Main St., Suite 235-131, Frisco, TX 75034 - FINRA arbitrator - Volunteer - start date July 26, 2023 - 3 hours/month - 3 hours/month during trading - Sit on a FINRA arbitrator panel when my services are requested. (6) Wealth Management at Alliance Credit Union – investment related – 6219 Spur 327 Frontage Rd., Lubbock, TX 79424 – wealth management services – agent – start date May 8, 2026 – 2 hours/month (2 during trading hours) – assists credit union members with wealth management services

Exams

• S63 Uniform Securities Agent State Law Examination
  1997-05-23
• S65 Uniform Investment Adviser Law Examination
  1997-05-12

Other Names

• Jim Wigen
• James R Wigen