James E. 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 Edward Miller, who also goes by Jim Miller, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 13 firms and has passed the Series 66, 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
July 20, 2012 - October 16, 2014
MORGAN STANLEY
July 20, 2012 - October 16, 2014
MORGAN STANLEY
January 5, 2011 - June 30, 2011
NATIONWIDE SECURITIES, LLC
January 4, 2011 - June 30, 2011
NATIONWIDE SECURITIES, LLC
December 5, 2006 - November 16, 2010
NATIONWIDE INVESTMENT ADVISORS, LLC
July 11, 2006 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 24, 2006 - November 16, 2010
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 17, 2005 - May 10, 2005
BANC ONE SECURITIES CORPORATION
November 12, 2004 - March 4, 2005
OSAIC FA, INC.
November 5, 2004 - March 4, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 5, 2004 - March 4, 2005
OSAIC FA, INC.
March 12, 2002 - August 9, 2004
BANC ONE SECURITIES CORPORATION
September 1, 1998 - April 3, 2000
BANC ONE SECURITIES CORPORATION
February 6, 1998 - April 24, 1998
SEIBT FINANCIAL SERVICES, INC
June 9, 1997 - February 17, 1998
WMA SECURITIES, INC.
April 10, 1995 - September 1, 1995
ESSEX NATIONAL SECURITIES, LLC
October 26, 1994 - April 17, 1995
IFMG SECURITIES, INC.
January 1, 1994 - November 3, 1994
IDS LIFE INSURANCE COMPANY
January 1, 1994 - November 3, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
