James S. 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 Scott Miller, who also goes by Jim Scott Miller, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 7 firms and has passed the Series 66 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
October 1, 2012 - August 5, 2022
BILTMORE WEALTH ADVISORS, LLC
November 17, 2010 - August 1, 2013
CAMELBACK WEALTH MANAGEMENT, LLC
August 23, 2010 - November 1, 2010
MERIDIAN UNITED CAPITAL, LLC
February 4, 2008 - August 20, 2010
THE PLANNING GROUP
January 10, 2008 - August 20, 2010
MERIDIAN UNITED CAPITAL, LLC
August 14, 2006 - January 9, 2008
CETERA INVESTMENT SERVICES LLC
August 14, 2006 - January 9, 2008
CETERA INVESTMENT SERVICES LLC
August 1, 2005 - August 25, 2006
UBS FINANCIAL SERVICES INC.
January 14, 2005 - August 8, 2005
STONE & YOUNGBERG LLC
November 10, 2004 - August 8, 2005
STONE & YOUNGBERG 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
Exams
Current Firm
BILTMORE WEALTH ADVISORS, LLC
CRD#: 165557 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 77 |
| AUM (Assets Under Management) | $ 12,500,000 |
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.
