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JAMES KING MILLER JR
CRD#: 3043366
IA
B
MORGAN STANLEYCRD#: 149777 4969 US Highway 42
Suite 1200
Louisville, KY 40222
Suite 1200
Louisville, KY 40222
0
Disclosures
26
Years of Experience
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State Registrations
B
California 1/14/2011
B
New York 12/20/2016
B
Delaware 2/16/2024
B
North Carolina 10/1/2018
B
Florida 8/28/2009
B
Ohio 2/21/2013
B
Georgia 1/2/2020
B
Pennsylvania 9/14/2023
B
Illinois 7/15/2013
B
South Carolina 7/9/2019
B
Indiana 8/28/2009
B
Tennessee 8/28/2009
B
Kentucky 8/28/2009
B
Texas 8/28/2009
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Kentucky 8/28/2009
IA
Texas 2/20/2020
B
Maryland 10/24/2023
B
Virginia 8/28/2009
B
Michigan 11/20/2014
B
Wisconsin 10/4/2018
B
Nevada 5/6/2013
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 8/28/2009
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Registered with this firm since 8/28/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2008 - 09/01/2009 | LOUISVILLE, KY | |
B | 10/01/2008 - 09/01/2009 | LOUISVILLE, KY | |
IA | 09/27/2006 - 10/01/2008 | LOUISVILLE, KY | |
B | 07/01/2006 - 10/01/2008 | LOUISVILLE, KY | |
IA | 07/13/2004 - 09/27/2006 | LOUISVILLE, KY | |
B | 07/13/2004 - 07/01/2006 | LOUISVILLE, KY | |
IA | 06/11/2002 - 07/08/2004 | LOUISVILLE, KY | |
B | 06/23/2000 - 07/08/2004 | ST. PETERSBURG, FL | |
B | 06/10/1998 - 06/29/2000 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.