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JM

James Dyer Muir

CRD# 2801996·Registered 1996 - 2020

Previously Registered: Being a previously registered professional could mean that James 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.

Professional Summary

James Dyer Muir, who also goes by James Dyer Muir Jr, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1996 - 2020. James had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 14 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

James Dyer Muir Jr

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

USAA FINANCIAL ADVISORS, INC.·CRD# 129035

BD

San Antonio, TX

November 7, 2017 - August 31, 2020

USAA INVESTMENT SERVICES COMPANY·CRD# 5475

RIA

San Antonio, TX

June 13, 2014 - June 26, 2026

USAA INVESTMENT SERVICES COMPANY·CRD# 5475

BD

San Antonio, TX

June 10, 2014 - June 26, 2026

BNY MELLON SECURITIES CORPORATION·CRD# 231

RIA

New York, NY

January 18, 2007 - April 1, 2014

MBSC, LLC·CRD# 42430

BD

New York, NY

May 17, 2002 - July 13, 2007

BNY MELLON SECURITIES CORPORATION·CRD# 231

BD

New York, NY

January 11, 2000 - April 1, 2014

PRUCO SECURITIES, LLC.·CRD# 5685

BD

Newark, NJ

November 20, 1996 - January 12, 2000

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Current Firm

UF

USAA FINANCIAL ADVISORS, INC.

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035 / SEC#: 8-66197

BD

Terminated by SEC on 08/29/2020

Contact Information

Established

Delaware since 07/15/2003

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

Name	Position	CRD#
USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.	SHAREHOLDER	—
FLORES, JENNIFER MARGRET	FINOP AND PRINCIPAL FINANCIAL OFFICER	4175069
MUIR, JAMES DYER	CHIEF COMPLIANCE OFFICER	2801996

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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.

?Name of Business: U.S. Army Reserve Command Headquarters. ?Is business investment-related: No. ?Address of the other business:4710 Know St., Fort Liberty, NC 28310. ?Nature of the other business: Military. ?Position/Title, or relationship with the other business: JUDGE ADVOCATE GENERAL'S CORPS. ?Start date of your relationship: 01/2002. ?Approximate number of hours/months you devote to the other business: 25HRS. ?Number of hours you devote to the other business during securities trading hours: None. ?Briefly describe your duties relating to the other business: VARIOUS LEGAL DUTIES FOR US ARMY. ?Name of Business: FINRA ?Is business investment-related: Yes. ?Address of the other business: 9509 Key W Ave., Rockville, MD 20850. ?Nature of the other business: FINRA DISPUTE RESOLUTION. ?Position/Title, or relationship with the other business: ARBITRATOR. ?Start date of your relationship: 08/2005. ?Approximate number of hours/months you devote to the other business: 2 HOURS PER MONTH. ?Number of hours you devote to the other business during securities trading hours: None. ?Briefly describe your duties relating to the other business: Review investment related cases submitted for Arbitration. ?Name of Business: Rental Property ?Is business investment-related: No ?Address of the other business: Private Residence. ?Nature of the other business: Own two condominiums in Maine, both of which are rented to individuals. One unit has been owned since 2001 and the second unit since 2017. ?Position/Title, or relationship with the other business: Owner ?Start date of your relationship: 07/01/2001 ?Approximate number of hours/month you devote to the other business: 1 hour a month ?Number of hours you devote ot the other business during securities trading hours: No hours during securities trading hours ?Briefly describe your duties relating to the other business: Owner of the two condominium units. Both are owned individually, and not through any type of legal entity such as an LP, LLC, etc

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State Registrations and Notice Filings

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

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Aug 2006About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2000About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1996About the Series 6 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Nov 2000About the Series 24 exam

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CRS (Client Relationship Summary)

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

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JM

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