James R. 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 Robert Miller was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6TO and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2018 - April 12, 2023
ALLSTATE FINANCIAL SERVICES, LLC
February 23, 2010 - December 17, 2010
KMS FINANCIAL SERVICES, INC.
February 23, 2010 - December 17, 2010
KMS FINANCIAL SERVICES, INC.
January 23, 2009 - January 29, 2010
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - January 29, 2010
SECURITIES AMERICA, INC.
November 18, 2005 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
November 18, 2005 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
September 26, 2001 - November 29, 2005
VALIC FINANCIAL ADVISORS, INC.
November 4, 1997 - November 29, 2005
VALIC FINANCIAL ADVISORS, INC.
October 14, 1991 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
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
Series 6TO
Date: 12/17/2018
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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