James R. Miller
Professional summary
James Ralph Miller III, who also goes by Trey Miller, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Ralph Miller III's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2009 - Present
FEF DISTRIBUTORS, LLC
Office #1: 1345 Avenue Of The Americas, New York, NY 10105Office #2: 1345 Avenue Of The Americas, New York, NY 10105-4800May 18, 2006 - December 11, 2008
VP DISTRIBUTORS LLC
September 17, 2004 - May 2, 2006
AIM PRIVATE ASSET MANAGEMENT
October 24, 2000 - May 2, 2006
INVESCO DISTRIBUTORS, INC.
September 23, 1999 - October 31, 2000
FUND MANAGEMENT COMPANY
January 23, 1998 - November 2, 1998
IDS LIFE INSURANCE COMPANY
January 23, 1998 - November 2, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
September 15, 1997 - November 14, 1997
IDS LIFE INSURANCE COMPANY
September 15, 1997 - November 14, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/27/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
(2/26/2009)
Exams
FINRA
Current Firm
FEF DISTRIBUTORS, LLC
CRD#: 46585 / SEC#: , 8-51483
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
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.
