James Bey has been an investment adviser representative at Independent Wealth Network since December 2017, and is not listed among the firm’s executive officers or direct owners.
Independent Wealth Network, Inc. is an Urbandale, IA firm with $518M under management, 1,460 clients and 30 advisers across 20 offices, as of its March 2026 filing.
James Bey’s longest registration was 10 years at NFP Advisor Services, LLC (2006–2016). Before joining Independent Wealth Network in 2017, James Bey was registered through Kestra Advisory Services, LLC and NFP Advisor Services, LLC.
- – present · 8 yearsDowners Grove, IL · Adviser representative · Firm CRD 286262
- Kestra Advisory Services, LLC– · 1 yearNaperville, IL · Adviser representative · Firm CRD 283330
- NFP Advisor Services, LLC– · 10 yearsNaperville, IL · Adviser representative · Firm CRD 42046
- NFP Securities, Inc.– · under a yearNaperville, IL · Adviser representative · Firm CRD 42046
- Steele Capital Management, Inc.– · under a yearNaperville, IL · Adviser representative · Firm CRD 107097
Investment adviser representative registrations
James Bey is registered as an investment adviser representative in 9 states, as a resident of Texas. The first approvals date from December 2017; the most recent is Georgia, in September 2024.
- ArizonaSince 23 February 2018
- GeorgiaSince 16 September 2024
- IllinoisSince 8 December 2017
- MichiganSince 17 July 2023
- MinnesotaSince 19 February 2018
- MissouriSince 9 April 2018
- PennsylvaniaSince 30 July 2024
- TexasResidentSince 20 February 2018
- WisconsinSince 22 February 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 7 March 2017 |
| Series 65 | Uniform Investment Adviser Law Examination | 10 September 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 June 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 22 March 1989 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Edward Bey
- CRD
- 1933696
- Firm
- Independent Wealth Network · CRD 286262
- Office
- Preferred Wealth Management, LLC, 1431 Opus Place, Suite 110, Downers Grove, IL 60515
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 1990
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Bey work?
James Bey is an investment adviser representative registered through Independent Wealth Network, Inc. since December 2017, and is not listed among the firm’s executive officers or direct owners.
Is James Bey a financial advisor?
Yes. James Bey has a current investment-adviser registration in Arizona, Georgia, Illinois, Michigan, Minnesota, Missouri, Pennsylvania, Texas and Wisconsin, through Independent Wealth Network since December 2017.
How many years of experience does James Bey have?
James Bey has 36 years in the financial industry, since April 1990, across 4 adviser firms.
What exams has James Bey passed?
James Bey has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in March 1989. FINRA credited James Bey with the SIE, which began in October 2018.
Where did James Bey work before Independent Wealth Network?
Before Independent Wealth Network, James Bey was registered through Kestra Advisory Services, LLC, April 2016 to December 2017; NFP Advisor Services, LLC, February 2006 to September 2016; NFP Securities, Inc., March 2004 to February 2005; Steele Capital Management, Inc., January 2004 to August 2004.
Where is James Bey based?
James Bey’s registered office is in Downers Grove, IL.
Is James Bey registered with FINRA?
Yes. James Bey has a current broker registration, under CRD 1933696.
Source: FINRA BrokerCheck
How can I verify James Bey’s record?
Search CRD 1933696 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Bey’s full registration record.
