James S Miller

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2007 → 09/2019
  Summit Brokerage Services Inc
  Clackamas, OR
• 02/2007 → 05/2021
  Summit Financial Group Inc
  Clackamas, OR
• 09/2019 → 08/2021
  Cetera Advisor Networks Llc
  El Segundo, CA
• 08/2021 → 05/2025
  Cutter & Company Brokerage Inc
  Ballwin, MO
• 05/2025 → Present
  Prospera Financial Services, Inc.
  Clackamas, OR

Previous Registrations

• 2021-08-20 → 2025-05-16
  Cutter & Company, Inc.
  Clackamas, OR
  Clackamas, OR
  Ballwin, MO
• 2021-05-20 → 2021-08-31
  Cetera Wealth Services, Llc
  Clackamas, OR
• 2007-02-27 → 2021-05-20
  Summit Financial Group Inc
  Clackamas, OR
  Clackamas, OR
• 2003-05-13 → 2007-02-21
  Morgan Stanley Dw Inc.
  Portland, OR
  Portland, OR

Other Businesses

(1) WHITE HORSE CAPITAL MGMT LLC; SINCE 02/16/2007; 11670 SE AURORA CT, CLACKAMAS, OR, 97086; OWNER/FINANCIAL ADVISOR; EXTENSIVE SERVICE AND ADVISE CLIENTS ON FINANCIAL MATTERS; 250 HOURS SPENT ON ACTIVITY PER MONTH, 150 HOURS SPENT ON ACTIVITY DURING TRADING HOURS

Exams

• S66 Uniform Combined State Law Examination
  2001-02-21