James Miller, financial advisor Ames IA
73 score

James Miller

CRD Number: 1407934
Current Firm: On Investment Management Co

James Miller (CRD# 1407934) is an Investment Advisor Representative working at On Investment Management Co in Ames, IA and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
The O.n. Equity Sales Company Ames, IA Apr 1995 - Current 21
New England Mutual Life Des Moines, IA Mar 1986 - Current 30
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1986
S65 NASAA Investment Advisors Law Examination Jan 2002
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for James D. Miller
Phone Number: 855-262-0913
Registered State(s):
  • IA
By the Numbers
  • Total Assets Under Management
    832
    MILLIONS
  • Total Number of Accounts
    6,888
    ACCOUNTS
  • Average Account Value
    $120,767
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
73

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