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JM

Jim C. Miller

Some features on this profile are disabled
CRD#: 2404679
JM

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.

Jim Calvin Miller, CFP®, who also goes by Jim Miller, was a registered financial professional .

Jim is a previously registered financial professional and started their career in finance in 1993. Jim had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Miller

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

January 24, 2023 - September 30, 2024

MIT ASSOCIATES, LLC

BD
CRD#: 121171
TIBURON, CA
Past

March 22, 2019 - December 31, 2022

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
SCHAUMBURG, IL
Past

October 9, 2017 - May 7, 2018

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
FARMERS BRANCH, TX
Past

March 15, 2017 - October 17, 2017

EMERSON EQUITY LLC

BD
CRD#: 130032
Farmers Branch, TX
Past

April 20, 2016 - June 27, 2016

EMERSON EQUITY LLC

BD
CRD#: 130032
Irving, TX
Past

April 17, 2013 - December 8, 2015

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
DALLAS, TX
Past

November 28, 2007 - April 4, 2013

PROVASI CAPITAL PARTNERS LP

BD
CRD#: 119539
ADDISON, TX
Past

June 18, 1998 - October 15, 2007

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
IRVING, TX
Past

January 11, 1995 - November 13, 1996

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

October 4, 1993 - January 10, 1995

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/27/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/12/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/1/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/27/1998
General Securities Principal Examination

Current Firm

MA
MIT ASSOCIATES, LLC
LIABILITY SOLUTIONS | MIT ASSOCIATES, LLC

CRD#: 121171 / SEC#: , 8-65386

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
85 Eastview Avenue, Tiburon, CA 94920
Mailing Address
Po Box 774, Tiburon, CA 94920
Phone number
(415) 860-3673
Established
California since 04/17/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MIT HOLDINGS, LLCOWNER OF MIT ASSOCIATES, LLC
FORD, DAVID WRENNCEO, CCO, MANAGING PARTNER1188531
HARLINE, LISA DESAIMANAGING PARTNER6565161
STEWART, SCOTT ALEXANDERFINOP6977422
THORNTON, STEVEN LEEPRINCIPAL4496384

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.

Company Information

MIT ASSOCIATES, LLC

CRD#: 121171

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