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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

JAMES FRANKLIN SHENK

Advisor at INDEPENDENT FINANCIAL PARTNERS

Glen Rock, PA | TAMPA, FL

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Search this name across graphsid dfx:ria:3539bb56-5769-ddd3-839c-0cae3962ab87

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 1, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INDEPENDENT FINANCIAL PARTNERS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 22, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 22, 1997
First registration: Jan 1, 2001
Dual registered: yes, broker-dealer
Other names: JIM SHENK
IAPD individual key: 2876098

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INDEPENDENT FINANCIAL PARTNERS	Bd affiliated wealth	Jul 8, 2024	n/a	yes	TAMPA, FL\|Glen Rock, PA	Current employment
REALTA INVESTMENT ADVISORS, INC	Bd affiliated wealth	Aug 4, 2015	Jul 2, 2024	no	GLEN ROCK, PA\|WILMINGTON, DE\|GLEN ROCK, PA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 30, 2006	Jun 29, 2015	no	YORK, PA\|FORT MILL, SC\|GLEN ROCK, PA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Mar 3, 2003	Aug 28, 2006	no	YORK, PA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2001	Feb 28, 2003	no	HUNT VALLEY, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
REALTA INVESTMENT ADVISORS, INC	INDEPENDENT FINANCIAL PARTNERS	Jul 2, 2024	Jul 8, 2024	6	Firm change	Ibd to ibd
LPL FINANCIAL LLC	REALTA INVESTMENT ADVISORS, INC	Jun 29, 2015	Aug 4, 2015	36	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	LPL FINANCIAL LLC	Aug 28, 2006	Aug 30, 2006	2	Firm change	Other
WELLS FARGO ADVISORS	RAYMOND JAMES FINANCIAL SERVICES, INC.	Feb 28, 2003	Mar 3, 2003	3	Firm change	Other

Relationships

Registered with (5)

→ INDEPENDENT FINANCIAL PARTNERSRegistered adviserregistration: current employment
Jul 8, 2024 to presentfactForm ADV
→ REALTA INVESTMENT ADVISORS, INCRegistered adviserregistration: previous registration
Aug 4, 2015 to Jul 2, 2024factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 30, 2006 to Jun 29, 2015factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 3, 2003 to Aug 28, 2006factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2001 to Feb 28, 2003factForm ADV

Dated events

Occurred
Jul 2, 2024
Advisor changed firm
James Franklin Shenk left Realta Investment Advisors, Inc for Independent Financial Partners (registered 2024-07-08)
Form ADVobserved 6 days ago