Best Investors Account Sign in

James King Miller

Morgan Stanley

Louisville, KY

Claim This Profile
Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-20
KY RA APPROVED 2009-08-28
  • TX RA
    APPROVED_RES
    Since 2020-02-20
  • KY RA
    APPROVED
    Since 2009-08-28

Branch Locations

4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Louisville KY 08/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 08/2009 → Present
    Morgan Stanley Smith Barney
    Louisville, KY
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2008-10-01 → 2009-09-01
    J.P. Morgan Securities Llc
    Louisville, KY
  • 2006-09-27 → 2008-10-01
    J.P. Morgan Securities Inc.
    Louisville, KY
  • 2004-07-13 → 2006-09-27
    Banc One Securities Corporation
    Louisville, KY
    Chicago, IL
    Louisville, KY
  • 2002-06-11 → 2004-07-08
    Raymond James Financial Services, Inc.
    Louisville, KY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-02
S63 Uniform Securities Agent State Law Examination 1998-06-24
  • S65 Uniform Investment Adviser Law Examination
    1999-12-02
  • S63 Uniform Securities Agent State Law Examination
    1998-06-24

View on SEC IAPD

Other Firms

RAYMOND JAMES & ASSOCIATES, INC.
WAYCROSS GP, LLC
WAYCROSS PARTNERS, LLC
PNC WEALTH MANAGEMENT LLC
KESTRA ADVISORY SERVICES, LLC
LPL FINANCIAL LLC
LANIER ASSET MANAGEMENT, LLC
ADVANTAGE INVESTMENT MANAGEMENT

Other Investors

REBECCA ANN LOVAN
Donald R Dentinger
MAYNARD EDWIN HOPPER
DEONNA STARGEL COLVIN
James Earl Groves
WHITNEY B WOODFORD
Bruce Mckiernan White
WILLIAM JOHNATHAN HENDERSON

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · LOUISVILLE, KY
WAYCROSS GP, LLC · LOUISVILLE, KY
WAYCROSS PARTNERS, LLC · LOUISVILLE, KY
PNC WEALTH MANAGEMENT LLC · Louisville, KY
KESTRA ADVISORY SERVICES, LLC · Louisville, KY
LPL FINANCIAL LLC · LOUISVILLE, KY
LPL FINANCIAL LLC · LOUISVILLE, KY
LPL FINANCIAL LLC · LOUISVILLE, KY

More in Louisville, KY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor