James P. 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 Peter Miller was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4, Series 53 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
August 5, 2019 - December 16, 2019
NEXT FINANCIAL GROUP, INC.
June 25, 2019 - December 20, 2019
SORRENTO PACIFIC FINANCIAL, LLC
April 5, 2019 - December 13, 2019
CADARET, GRANT & CO., INC.
April 5, 2019 - December 20, 2019
CUSO FINANCIAL SERVICES, L.P.
April 5, 2019 - December 13, 2019
CADARET, GRANT & CO., INC.
April 5, 2019 - December 20, 2019
CUSO FINANCIAL SERVICES, L.P.
November 13, 2014 - September 13, 2017
CURIAN CLEARING, LLC
July 18, 2007 - September 10, 2018
INVEST FINANCIAL CORPORATION
October 11, 2000 - September 10, 2018
INVESTMENT CENTERS OF AMERICA, INC.
December 15, 1999 - September 10, 2018
NATIONAL PLANNING CORPORATION
January 21, 1999 - June 25, 2018
SII INVESTMENTS, INC.
January 21, 1999 - September 10, 2018
SII INVESTMENTS, INC.
May 14, 1991 - July 7, 1997
SII INVESTMENTS, INC.
April 5, 1990 - March 12, 1991
IDS LIFE INSURANCE COMPANY
April 5, 1990 - March 12, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
June 20, 1989 - January 1, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 20, 1989 - January 1, 1990
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
