James P. Miley

HAYS FINANCIAL GROUP

MINNEAPOLIS, MN 55402

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CRD#: 5265672

Professional summary

James P Miley, CIMA® is a registered financial advisor currently at HAYS FINANCIAL GROUP, LLC located in Minneapolis, Minnesota and LPL FINANCIAL LLC located in Minneapolis, Minnesota.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. James has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

None

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) - RIA

Click below to view James P Miley's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 28, 2021 - Present

HAYS FINANCIAL GROUP, LLC

Office #1: 901 S. Marquette Avenue Suite 2820, Minneapolis, MN 55402

RIA

CRD#: 306877

MINNEAPOLIS, MN

Current

May 25, 2017 - Present

LPL FINANCIAL LLC

Office #1: 901 Marquette Ave Ste 2820, Minneapolis, MN 55402

RIA

CRD#: 6413

MINNEAPOLIS, MN

Past

July 31, 2025 - July 10, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

May 25, 2017 - October 26, 2021

GLOBAL RETIREMENT PARTNERS LLC

RIA

CRD#: 172011

Minneapolis, MN

Past

October 4, 2010 - June 20, 2017

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MINNEAPOLIS, MN

Past

October 1, 2010 - June 20, 2017

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MINNEAPOLIS, MN

Past

July 13, 2009 - September 28, 2010

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

April 27, 2007 - July 7, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WAYZATA, MN

Past

March 2, 2007 - July 7, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WAYZATA, MN

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".

HAYS FINANCIAL GROUP, LLC

HAYS FINANCIAL GROUP | HAYS FINANCIAL GROUP, LLC

CRD#: 306877 / SEC#: 801-118389

RIA

Registered Investment Advisory firm - (1/4/2021 Approved)

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.

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

Arizona
(5/25/2017)

California
(5/25/2017)

Colorado
(9/23/2019)

District of Columbia
(5/25/2017)

Florida
(5/25/2017)

IAR

Florida
(7/8/2024)

Georgia
(12/12/2017)

Illinois
(5/25/2017)

Indiana
(11/25/2020)

Iowa
(5/25/2017)

Louisiana
(11/25/2020)

Maryland
(5/25/2017)

Massachusetts
(5/25/2017)

Michigan
(5/25/2017)

Minnesota
(5/25/2017)

IAR

Minnesota
(5/28/2021)

Mississippi
(5/25/2017)

Missouri
(11/25/2020)

Nebraska
(2/26/2020)

North Dakota
(10/2/2023)

Oklahoma
(5/25/2017)

Texas
(11/25/2020)

Virginia
(5/25/2017)

Washington
(11/25/2020)

Wisconsin
(5/25/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/26/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HAYS FINANCIAL GROUP, LLC

HAYS FINANCIAL GROUP | HAYS FINANCIAL GROUP, LLC

CRD#: 306877 / SEC#: 801-118389

RIA

Registered Investment Advisory firm - (1/4/2021 Approved)

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Contact information

Main Address

901 S. Marquette Avenue Suite 1990, Minneapolis, MN 55402

Mailing Address

Phone number

(612) 373-9863

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HFG DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	688
AUM (Assets Under Management)	$ 6,092,981,791

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James P. Miley

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James P Miley's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

GLOBAL RETIREMENT PARTNERS LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

ADP BROKER-DEALER, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HAYS FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/26/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/1/2007

FINRA

Current Firm

HAYS FINANCIAL GROUP, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HAYS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

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