James Miller, financial advisor La Canada Flintridge CA
71 score

James Miller

CRD Number: 3041907
Current Firm: Citigroup Global Markets Inc.

James Miller (CRD# 3041907) is an Investment Advisor Representative working at Citigroup Global Markets Inc. in La Canada Flintridge, CA and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Chase Investment Services Corp Agoura Hills, CA Mar 2010 - Current 6
Citigroup Global Markets Inc. Agoura Hills, CA May 2007 - Dec 2009 2
Citicorp Investment Services Agoura Hills, CA Feb 2003 - Oct 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1998
S65 NASAA Investment Advisors Law Examination Feb 2004
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:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James R. Miller
Phone Number: 212-816-6000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    22,285
    MILLIONS
  • Total Number of Accounts
    42,945
    ACCOUNTS
  • Average Account Value
    $518,927
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • 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, 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, VI, VT, WA, WI, WV

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BADGES
71

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