James H. 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 Harold 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 4 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2009 - March 18, 2020
VALUES FIRST ADVISORS, INC.
January 30, 2004 - May 3, 2011
AMERICAN VALUES INVESTMENTS, INC.
September 6, 1989 - February 3, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
December 6, 1982 - September 7, 1989
PFS INVESTMENTS INC.
Primary Firm SEC Registration
VALUES FIRST ADVISORS, INC.
CRD#: 148532 / SEC#: 801-70391
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
VALUES FIRST ADVISORS, INC.
CRD#: 148532 / SEC#: 801-70391
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,504 |
| AUM (Assets Under Management) | $ 201,956,787 |
Red Flags
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