JM
James D. Muir
USAA INVESTMENT SERVICES COMPANY
San Antonio, TX 78288
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CRD#: 2801996
JM
Professional summary
James Dyer Muir, who also goes by James Dyer Muir Jr, is a registered financial advisor currently at USAA INVESTMENT SERVICES COMPANY located in San Antonio, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Dyer Muir Jr
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
CRS (Client Relationship Summary) - RIA
Click below to view James Dyer Muir's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Dyer Muir's 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®
NoneExperience
Current
June 13, 2014 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: 9800 Fredericksburg Road, San Antonio, TX 78288RIA
BD
CRD#: 5475
San Antonio, TX
Current
June 10, 2014 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: 9800 Fredericksburg Road, San Antonio, TX 78288RIA
BD
CRD#: 5475
San Antonio, TX
Past
November 7, 2017 - August 31, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
Past
January 18, 2007 - April 1, 2014
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
NEW YORK, NY
Past
May 17, 2002 - July 13, 2007
MBSC, LLC
BD
CRD#: 42430
NEW YORK, NY
Past
January 11, 2000 - April 1, 2014
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
November 20, 1996 - January 12, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(6/10/2014)
IAR
Texas(6/13/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Mailing Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Phone number
(800) 531-7960
Established
Delaware since 09/01/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
152
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
