James W. Vermillion

VERMILLION PRIVATE WEALTH

LEXINGTON, KY

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CRD#: 6843610

Professional summary

James Wesley Vermillion III is a registered financial advisor currently at VERMILLION PRIVATE WEALTH located in Lexington, Kentucky.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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 Wesley Vermillion III's 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®

None

Experience

Current

December 3, 2020 - Present

VERMILLION PRIVATE WEALTH

RIA

CRD#: 309240

LEXINGTON, KY

Past

October 18, 2019 - October 7, 2020

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

LEXINGTON, KY

Past

October 18, 2019 - October 7, 2020

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

LEXINGTON, KY

Past

October 20, 2017 - October 18, 2019

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

LEXINGTON, KY

Past

August 31, 2017 - October 18, 2019

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LEXINGTON, KY

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.

Highlighted states indicate IAR registrations

IAR

Kentucky
(12/3/2020)

IAR

Louisiana
(5/2/2023)

IAR

Ohio
(5/12/2025)

IAR

Pennsylvania
(3/24/2026)

IAR

Texas
(2/13/2026)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/19/2017

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: 8/31/2017

General Securities Representative Examination

Current Firm

VERMILLION PRIVATE WEALTH

VERMILLION PRIVATE WEALTH | VERMILLION PRIVATE WEALTH, LTD.CO.

CRD#: 309240 / SEC#:

Kentucky

Registered Investment Advisory firm - (12/3/2020 Approved)

Louisiana

Registered Investment Advisory firm - (5/2/2023 Approved)

Ohio

Registered Investment Advisory firm - (5/12/2025 Approved)

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Contact information

Main Address

Lexington, KY

Mailing Address

Phone number

(859) 320-0386

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	125
AUM (Assets Under Management)	$ 13,546,892

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Louisiana	ERA - Withdrawn	4/17/2023

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.

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James W. Vermillion

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Wesley Vermillion III's CRS (Customer Relationship Summary).

Certified licenses

Experience

VERMILLION PRIVATE WEALTH

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/2017

SIE

Date: 10/1/2018

Series 7

Date: 8/31/2017

Current Firm

VERMILLION PRIVATE WEALTH

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

VERMILLION PRIVATE WEALTH

TRUST BUT VERIFY

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