James H. Waugh

VIMA

Troy, MI 48085

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CRD#: 2493764

Professional summary

James Harrison Waugh, who also goes by James H Waugh, is a registered financial advisor currently at VIMA, LLC located in Troy, Michigan.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James H Waugh

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) - RIA

Click below to view James Harrison Waugh'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

November 9, 2018 - Present

VIMA, LLC

Office #1: 46 East Square Lake Rd., Troy, MI 48085

RIA

CRD#: 148833

Troy, MI

Past

October 5, 2016 - October 2, 2018

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

OWOSSO, MI

Past

October 5, 2016 - October 2, 2018

CITIZENS SECURITIES, INC.

CRD#: 39550

OWOSSO, MI

Past

May 22, 2015 - August 9, 2016

LPL FINANCIAL LLC

CRD#: 6413

KALAMAZOO, MI

Past

May 14, 2015 - August 9, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

KALAMAZOO, MI

Past

December 16, 2014 - February 10, 2015

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

WILLIAMSTON, MI

Past

May 29, 2014 - July 1, 2014

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

OKEMOS, MI

Past

April 21, 2014 - July 1, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

OKEMOS, MI

Past

August 26, 2010 - March 19, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SOUTHFIELD, MI

Past

June 27, 1994 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 27, 1994 - March 19, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SOUTHFIELD, MI

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".

VIMA, LLC

MORE THAN MONEY WEALTH ADVISORS | VIMA, LLC

CRD#: 148833 / SEC#: 801-129108

RIA

Registered Investment Advisory firm - (11/27/2023 Approved)

Florida

Registered Investment Advisory firm - (12/12/2023 Terminated)

Indiana

Registered Investment Advisory firm - (12/13/2023 Terminated)

Michigan

Registered Investment Advisory firm - (12/19/2023 Terminated)

Ohio

Registered Investment Advisory firm - (12/14/2023 Terminated)

Texas

Registered Investment Advisory firm - (12/12/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Michigan
(11/9/2018)

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 66

Date: 7/16/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/7/1994

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: 6/24/1994

General Securities Representative Examination

Current Firm

VIMA, LLC

MORE THAN MONEY WEALTH ADVISORS | VIMA, LLC

CRD#: 148833 / SEC#: 801-129108

RIA

Registered Investment Advisory firm - (11/27/2023 Approved)

Florida

Registered Investment Advisory firm - (12/12/2023 Terminated)

Indiana

Registered Investment Advisory firm - (12/13/2023 Terminated)

Michigan

Registered Investment Advisory firm - (12/19/2023 Terminated)

Ohio

Registered Investment Advisory firm - (12/14/2023 Terminated)

Texas

Registered Investment Advisory firm - (12/12/2023 Terminated)

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Contact information

Main Address

46 East Square Lake Rd., Troy, MI 48085

Mailing Address

Phone number

(248) 526-6700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VIMA- NARRATIVE VERSION OF ADV PART 2A & 2B (8/14/2025)

Regulatory assets under management

Total Number of Accounts	897
AUM (Assets Under Management)	$ 150,242,478

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/05/2025	Cover Page	Report

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 H. Waugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harrison Waugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VIMA, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/16/2010

Series 63

Date: 7/7/1994

SIE

Date: 10/1/2018

Series 7

Date: 6/24/1994

Current Firm

VIMA, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VIMA, LLC

TRUST BUT VERIFY

Contact information

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