James P Miley

Current Employers

Employment History

• 10/2010 → 05/2017
  Rbc Capital Markets
  Minneapolis, MN
• 05/2017 → Present
  Lpl Financial, Llc
  Minneapolis, MN
• 05/2017 → 05/2021
  Global Retirement Partners, Llc
  Minneapolis, MN
• 05/2021 → Present
  The Hays Financial Group, Llc
  Minneapolis, MN

Previous Registrations

• 2017-05-25 → 2021-10-26
  Global Retirement Partners Llc
  Minneapolis, MN
  San Rafael, CA
• 2010-10-04 → 2017-06-20
  Rbc Capital Markets, Llc
  Minneapolis, MN
  Minneapolis, MN
• 2007-04-27 → 2009-07-07
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Wayzata, MN
  Minneapolis, MN

Other Businesses

1. 5/25/2017 - Hays Investment Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/26/2017 - 120 Hours Per Month/6 Hours During Securities Trading - Time Spent 80%. 2. 4/5/2018 - Miley Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 04/10/2018 - 1 Hour Per Month During Securities Trading. 3. 5/9/2018 - JP Miley & Company - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 04/19/2018 - 1 Hour Per Month During Securities Trading. 4. 6/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:04/01/2018 - 2 Hour(s) Per Month/2 Hour(s) During Trading. 5. 6/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Property and Casualty - Start Date:02/01/2018 - 2 Hour(s) Per Month/2 Hour(s) During Trading. 6. 12/8/2021 - The Hays Financial Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/15/2021 - 120 Hours Per Month During Securities Trading - I provide investment advisory services through The Hays Financial Group. LLC, an independent investment advisor firm. I started this business activity in 11/2021. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7. 01/15/2024 - Minnesota Secure Retirement Choice - Non-Inv Related - St Paul, MN - Non-Profit Board Member - Started 1/15/2024 - 2 hrs/mo; 0 Hr During Trading. 8. 03/28/2024 - Norgard Capital Partners - Business Entity For Tax/Investment Purposes Only - Investment Related - Home Based - Start Date 03/25/2024 - 2 Hours Per Month/ 1 Hour During Trading

Exams

• S66 Uniform Combined State Law Examination
  2007-04-26