James I. 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 Ivan Miller, who also goes by Jim Miller, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 9 firms and has passed the Series 63, Series 7, Series 22 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
January 18, 1995 - July 28, 2009
OMNIVEST, INC.
May 12, 1992 - September 16, 1994
SCHNEIDER SECURITIES, INC.
April 5, 1990 - April 29, 1992
GLOBAL CAPITAL SECURITIES CORPORATION
August 24, 1989 - March 19, 1990
ROYCE PARK INVESTMENTS, INC.
April 25, 1989 - August 29, 1989
J. T. MORAN & CO., INC.
June 22, 1988 - May 5, 1989
ROYCE PARK INVESTMENTS, INC.
January 21, 1988 - June 29, 1988
FITZGERALD, DEARMAN & ROBERTS, INC.
June 27, 1986 - January 14, 1988
ENGLER-BUDD & COMPANY INC.
April 16, 1986 - June 17, 1986
IRONWOOD SECURITIES, INC.
July 12, 1982 - April 16, 1986
BOARDWALK CAPITAL CORPORATION
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
OMNIVEST, INC.
CRD#: 13396 / SEC#: , 8-29259
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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