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James William Humphries

Mindset Wealth Management, LLC

Indianapolis, IN

Mindset Asset Management, LLC

Indianapolis, IN

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Current Employers
Mindset Wealth Management, Llc

8275 Allison Pointe Trail Suite 230, Indianapolis, IN 46250 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2026-07-10
LA RA APPROVED 2024-06-10
IL RA APPROVED 2024-05-09
CO RA APPROVED 2024-05-08
TX RA APPROVED_RES 2024-05-08
IN RA APPROVED 2024-04-02
  • PA RA
    APPROVED
    Since 2026-07-10
  • LA RA
    APPROVED
    Since 2024-06-10
  • IL RA
    APPROVED
    Since 2024-05-09
  • CO RA
    APPROVED
    Since 2024-05-08
  • TX RA
    APPROVED_RES
    Since 2024-05-08
  • IN RA
    APPROVED
    Since 2024-04-02

Branch Locations

8275 Allison Pointe Trail Suite 230, Indianapolis, IN 46250 • United States

Mindset Asset Management, Llc

8275 Allison Pointe Trail Suite 230, Indianapolis, IN 46250 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2025-11-13
  • IN RA
    APPROVED
    Since 2025-11-13

Branch Locations

8275 Allison Pointe Trail Suite 230, Indianapolis, IN 46250 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sheaff Brock Investment Advisors, Llc Indianapolis IN 04/2015 03/2024
Innovative Portfolios Indianapolis IN 12/2018 03/2024
Salzinger Sheaff Brock, Llc Indianapolis IN 11/2023 03/2024
Mindset Wealth Management, Llc Indianapolis IN 03/2024 Present
Mindset Asset Management, Llc Indianapolis IN 09/2025 Present
  • 04/2015 → 03/2024
    Sheaff Brock Investment Advisors, Llc
    Indianapolis, IN
  • 12/2018 → 03/2024
    Innovative Portfolios
    Indianapolis, IN
  • 11/2023 → 03/2024
    Salzinger Sheaff Brock, Llc
    Indianapolis, IN
  • 03/2024 → Present
    Mindset Wealth Management, Llc
    Indianapolis, IN
  • 09/2025 → Present
    Mindset Asset Management, Llc
    Indianapolis, IN
Previous Registrations
  • 2015-06-29 → 2024-03-27
    Sheaff Brock Investment Advisors, Llc
    Indianapolis, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-25
S63 Uniform Securities Agent State Law Examination 2010-10-22
  • S66 Uniform Combined State Law Examination
    2015-06-25
  • S63 Uniform Securities Agent State Law Examination
    2010-10-22
Other Names
  • Louie Humphries

View on SEC IAPD

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