James H. Miller

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CRD#: 3115732

Professional summary

James Howard Miller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, James had worked at 10 firms, which includes FIRST AMERICAN CAPITAL AND TRADING CORPORATION, SUMMIT FINANCIAL GROUP INC, SUMMIT BROKERAGE SERVICES INC., LEGACY ADVISORY SERVICES INC., LEGACY FINANCIAL SERVICES INC., FSC SECURITIES CORPORATION, SENTRA SECURITIES CORPORATION, KOVACK SECURITIES INC., THE AGEAN GROUP INC, MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Aliases

James H Miller | Jim Miller

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)

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

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

Past

May 29, 2007 - August 31, 2010

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

RIA

CRD#: 118812

DELRAY BEACH, FL

Past

May 25, 2007 - August 31, 2010

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

CRD#: 118812

BOCA RATON, FL

Past

April 24, 2006 - May 29, 2007

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

DELRAY BEACH, FL

Past

April 11, 2006 - May 29, 2007

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

DELRAY BEACH, FL

Past

April 25, 2003 - April 11, 2006

LEGACY ADVISORY SERVICES, INC.

RIA

CRD#: 111027

DEL RAY BEACH, FL

Past

February 27, 2003 - April 11, 2006

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

August 31, 2001 - January 3, 2003

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

DELRAY BEACH , FL

Past

August 30, 2001 - January 3, 2003

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

August 7, 2000 - June 13, 2001

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

January 25, 2000 - August 31, 2000

KOVACK SECURITIES INC.

CRD#: 44848

FT. LAUDERDALE, FL

Past

September 28, 1999 - February 4, 2000

THE AGEAN GROUP, INC

CRD#: 30835

BOCA RATON, FL

Past

March 18, 1999 - September 21, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 12/19/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/12/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/23/2007

General Securities Principal Examination

Current Firm

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

FIRST AMERICAN CAPITAL AND TRADING CORPORATION | STC SECURITIES CORPORATION

CRD#: 118812 / SEC#: , 8-53687

Terminated by SEC on 08/01/2014

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Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 01/01/2002

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
AVA HOLDING CORP.	SHAREHOLDER / HOLDING COMPANY
DEVITO, ROBERT MICHAEL	FINOP & MUNI PRINCIPAL	4313445
JO, WILLIAM CHANG	PRESIDENT / CHIEF COMPLIANCE OFFICER/ CROP / SROP	2813562

Disclosures

Regulatory Event

Red Flags

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Advisor Monitoring

Firm Stability Insights

James H. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

LEGACY ADVISORY SERVICES, INC.

LEGACY FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

KOVACK SECURITIES INC.

THE AGEAN GROUP, INC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/6/1999

Series 63

Date: 11/17/1998

Series 31

Date: 12/19/1998

Series 7

Date: 10/12/1998

Series 24

Date: 3/23/2007

Current Firm

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

TRUST BUT VERIFY

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