James R. Miller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Robert Miller, who also goes by James Robert Miller Jr, Jim Miller, Jr Miller, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 15 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2011 - October 5, 2012
NMS CAPITAL SECURITIES, LLC
February 3, 2011 - August 4, 2011
NMS CAPITAL ASSET MANAGEMENT, INC.
July 27, 2010 - December 31, 2010
NMS CAPITAL ASSET MANAGEMENT, INC.
March 30, 2009 - October 19, 2009
C.K. COOPER & COMPANY, INC.
November 20, 2008 - October 19, 2009
C.K. COOPER & COMPANY, INC.
June 15, 2007 - February 8, 2008
SOUTH LAKE AVENUE SECURITIES CORPORATION
February 6, 2006 - May 4, 2007
EMMETT A LARKIN COMPANY, INC.
February 6, 2006 - May 4, 2007
EMMETT A LARKIN COMPANY, INC.
April 23, 2002 - January 24, 2005
PMB SECURITIES CORP.
February 2, 1995 - April 18, 2002
BROOKSTREET SECURITIES CORPORATION
January 28, 1993 - January 25, 1995
SPELMAN & CO., INC.
September 24, 1992 - January 27, 1993
ROTH CAPITAL PARTNERS, LLC
June 26, 1992 - October 20, 1992
M.C. FINANCIAL CORPORATION
June 29, 1989 - May 2, 1991
CFG SECURITIES CORP.
July 19, 1988 - April 7, 1990
NIF SECURITIES, INC.
February 10, 1988 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
November 7, 1985 - April 2, 1986
CROWELL, WEEDON & CO.
February 14, 1985 - November 14, 1985
VALUE EQUITIES CORPORATION
November 23, 1981 - December 13, 1982
CROWELL, WEEDON & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NMS CAPITAL SECURITIES, LLC
CRD#: 107401 / SEC#: , 8-53037
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
