James C. Miklas

WELLESLEY ASSET MANAGEMENT

Longboat Key, FL

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CRD#: 1378418

Professional summary

James Carl Miklas, who also goes by James Carl Miklas, is a registered financial advisor currently at WELLESLEY ASSET MANAGEMENT, INC. located in Longboat Key, Florida and FORESIDE FUND SERVICES, LLC located in Portsmouth, New Hampshire.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Carl Miklas

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Wellesley Asset Management, Inc., Investment Related, White Lake, MI, Director, Began 10/16/2017, 160 Hours Per Month, 152 During Trading Hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Carl Miklas's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 5, 2025 - Present

WELLESLEY ASSET MANAGEMENT, INC.

RIA

CRD#: 116176

Longboat Key, FL

Current

November 15, 2017 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 100 Market St. Suite 203, Portsmouth, NH 03801

CRD#: 46106

Portsmouth, NH

Past

January 15, 2016 - January 30, 2017

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

FOLSOM, CA

Past

September 6, 2010 - April 5, 2016

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

February 24, 1995 - September 16, 2008

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

April 23, 1990 - December 31, 1993

NSR DISTRIBUTORS, INC.

CRD#: 20271

ENFIELD, CT

Past

March 31, 1989 - March 19, 1990

KRUPP SECURITIES CORPORATION

CRD#: 10908

BOSTON, MA

Past

February 6, 1987 - October 25, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

September 27, 1985 - February 17, 1987

JACQUES-MILLER INVESTMENT COMPANY

CRD#: 6652

Past

August 13, 1985 - September 18, 1985

HALL SECURITIES CORPORATION

CRD#: 13013

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WELLESLEY ASSET MANAGEMENT, INC.

WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA

Registered Investment Advisory firm - (6/27/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(9/7/2018)

IAR

Florida
(7/16/2025)

Illinois
(1/10/2018)

Indiana
(11/20/2017)

Iowa
(1/4/2021)

Kansas
(1/3/2022)

Kentucky
(1/10/2018)

Michigan
(11/15/2017)

Minnesota
(1/4/2021)

Missouri
(3/2/2018)

Nebraska
(1/3/2023)

IAR

New Hampshire
(2/5/2025)

Ohio
(11/20/2017)

Wisconsin
(1/4/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/7/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/12/1985

Direct Participation Programs Representative Examination

SRO Registrations

FINRA

Current Firm

WELLESLEY ASSET MANAGEMENT, INC.

WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA

Registered Investment Advisory firm - (6/27/2002 Approved)

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Contact information

Main Address

100 Market Street Suite 203, Portsmouth, NH 03801

Mailing Address

Phone number

(781) 416-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAM ADV 2A REFERRED CLIENTS (10/29/2025)

WAM ADV 2A DIRECT CLIENTS (10/29/2025)

Regulatory assets under management

Total Number of Accounts	1,478
AUM (Assets Under Management)	$ 2,063,684,848

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James C. Miklas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Carl Miklas's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL SECURITIES, INC.

VP DISTRIBUTORS LLC

NSR DISTRIBUTORS, INC.

KRUPP SECURITIES CORPORATION

LEHMAN BROTHERS INC.

JACQUES-MILLER INVESTMENT COMPANY

HALL SECURITIES CORPORATION

Primary Firm SEC Registration

WELLESLEY ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/7/1998

Series 63

Date: 7/29/1985

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1986

Series 22

Date: 8/12/1985

FINRA

Current Firm

WELLESLEY ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WELLESLEY ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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