JV
James W. Vermillion
VERMILLION PRIVATE WEALTH
LEXINGTON, KY
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CRD#: 6843610
JV
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.
Age International, non-investment related, 229 West Main Street, Suite 202. Frankfort, KY 40601, Age International distributes single barrel bourbon. Logistics Consultant. Start date: July 2012; Activity accounts for approximately 48 hours/month, 40 hours/month during trading hours, responsible for coordination and execution of international sales and logistics. Wixology Candle Company, LLC, non investment-related. 321 Arcadia Park, Lexington, KY 40503. Wixology produces and sells natural, wax candles. Part Owner. Start date: 08/2016. Activity accounts for approximately 12 hours/month, 2 hours/month during trading. Mr. Vermillion assists in making strategic business decisions regarding production. K&V Investment Group LLC, real estate investment-related. 321 Arcadia Park, Lexington, KY 40503. Owner. Buys and renovates real estate for the purpose of reselling for a profit or holding as rental property. Mr. Vermillion was involved in the analysis, purchase, renovation scheduling, and selling of property. Activity accounts for 0 hours/month, 0 hours/month during trading hours. Haven Kentucky LLC, real estate investment-related. 2200 Burrus Drive, Lexington, KY 40513. Member. Started 12/06/2021. Invests in private real estate. Mr. Vermillion identified investment opportunities and conducted market research. Activity accounts for 0 hours/month, 0 hours/month during trading hours.
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®
NoneExperience
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
BD
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
BD
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)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
VP
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)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Lexington, KY
Mailing Address
Phone number
(859) 684-2511
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 9,613,018 |
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.
