James E. Miller
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.
James Edward Miller, who also goes by Jim Miller, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1998. James had worked at 5 firms and has passed the Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2006 - December 31, 2014
ON TRACK FINANCIAL SERVICES LLC
September 14, 2001 - December 19, 2001
USA FINANCIAL SECURITIES LLC
June 7, 2000 - August 29, 2001
DORTCH SECURITIES & INVESTMENTS, INC.
April 1, 1999 - May 26, 2000
POLARIS FINANCIAL SERVICES, INC.
January 28, 1998 - February 19, 1999
WALNUT STREET SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ON TRACK FINANCIAL SERVICES LLC
CRD#: 112622 / SEC#:
Contact information
Red Flags
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