James K. Muir
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 Keith Muir was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2013 - January 15, 2019
SUMMIT FINANCIAL GROUP INC
October 3, 2013 - January 15, 2019
SUMMIT BROKERAGE SERVICES, INC.
November 2, 2005 - October 7, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 1, 2005 - October 7, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 18, 2004 - November 18, 2005
ADVEST, INC.
August 17, 2004 - November 18, 2005
ADVEST, INC.
June 6, 1997 - August 25, 2004
ROBERT W. BAIRD & CO. INCORPORATED
May 30, 1997 - August 25, 2004
ROBERT W. BAIRD & CO. INCORPORATED
February 19, 1986 - June 20, 1997
PRUDENTIAL EQUITY GROUP, LLC
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
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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.
