James F. Minich

MINICHMACGREGOR WEALTH MANAGEMENT

ST AUGUSTINE, FL

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CRD#: 1708380

Professional summary

James Franklin Minich is a registered financial advisor currently at MINICHMACGREGOR WEALTH MANAGEMENT, LLC located in St Augustine, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1)MINICH MACGREGOR WEALTH MANAGEMENT. THIS IS A REGISTERED INVESTMENT ADVISOR FIRM WHICH I AM A PARTNER WITH. THE ADDRESS IS 21 Congress Street, Suite 203, Saratoga Springs, NY 12866. THE START DATE IS 9/18/09 AND I SPEND 40 HOURS A WEEK AT THIS BUSINESS AND I PROVIDE FINANCIAL PLANNING AND PORTFOLIO MANAGEMENT ADVICE. 2)PKS FINANCIAL SERVICES; INVESTMENT RELATED; 80 STATE ST, ALBANY, NY 12207; 9/18/2009-PRESENT AGENT, FIXED INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Franklin Minich'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 28, 2013 - Present

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

RIA

CRD#: 151237

ST AUGUSTINE, FL

Past

September 18, 2009 - November 1, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

SARATOGA SPRINGS, NY

Past

June 1, 2009 - October 15, 2009

MORGAN STANLEY

CRD#: 149777

FT. PLAIN, NY

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FT. PLAIN, NY

Past

July 21, 1987 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

DEUCE MANAGEMENT, LLC | MINICHMACGREGOR WEALTH MANAGEMENT, LLC

CRD#: 151237 / SEC#: 801-70490

RIA

Registered Investment Advisory firm - (8/20/2009 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.

Highlighted states indicate IAR registrations

IAR

Florida
(2/28/2013)

IAR

Texas
(8/10/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/15/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Current Firm

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

DEUCE MANAGEMENT, LLC | MINICHMACGREGOR WEALTH MANAGEMENT, LLC

CRD#: 151237 / SEC#: 801-70490

RIA

Registered Investment Advisory firm - (8/20/2009 Approved)

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Contact information

Main Address

21 Congress Street Suite 203, Saratoga Springs, NY 12866

Mailing Address

Phone number

(518) 499-4565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MINICHMACGREGOR WEALTH MANAGEMENT, LLC ADV BROCHURE (4/30/2025)

Regulatory assets under management

Total Number of Accounts	2,698
AUM (Assets Under Management)	$ 630,016,934

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James F. Minich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Franklin Minich's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/15/2013

Series 63

Date: 8/1/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Current Firm

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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