James Howard Middlesworth

Current Employers

Employment History

• 08/2009 → 09/2016
  Vsr Financial Services, Inc
  Overland Park, KS
• 08/2009 → 09/2016
  Vsr Advisory Services
  Overland Park, KS
• 08/2015 → Present
  Hawaii Financial Advisors, Inc.
  Honolulu, HI
• 09/2016 → 09/2019
  Summit Brokerage Services, Inc.
  Honolulu, HI
• 09/2016 → 05/2021
  Summit Financial Group Inc
  Boca Raton, FL
• 09/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 05/2021 → 06/2023
  Cetera Advisor Networks Llc
  El Segundo, CA

Previous Registrations

• 2016-09-01 → 2021-05-20
  Summit Financial Group Inc
  Honolulu, HI
• 2016-09-02 → 2016-11-02
  Vsr Financial Services, Inc.
  Overland Park, KS
  Honolulu, HI
• 2009-08-17 → 2016-09-01
  Vsr Financial Services, Inc.
  Overland Park, KS
  Honolulu, HI
• 2008-12-11 → 2009-08-18
  Equitable Advisors, Llc
  Honolulu, HI
  Honolulu, HI
  Honolulu, HI
  Honolulu, HI
• 2005-10-31 → 2008-12-15
  Osaic Services, Inc.
  Phoenix, AZ
  Honolulu, HI
• 2001-09-05 → 2005-10-31
  Sunamerica Securities, Inc.
  Honolulu, HI

Other Businesses

(1) DBA- HAWAII FINANCIAL ADVISORS, INC.; INVESTMENT RELATED; Address same as branch; Start date 6/01/2015; 80 HOURS PER MONTH 8 HOURS During trading; (2) NOTARY PUBLIC - STATE OF HAWAII; NOT INVESTMENT RELATED; Address same as branch; NOTARY; Start date 06/15/1994; 1 HOUR PER MONTH - NONE DURING TRADING; NOTARY SERVICES. (3) INSURANCE SOLUTIONS; NOT INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; PROPERTY & CASUALTY; AGENT; STARTED 4/1/2013; APX 0.5 HOURS/MONTH, NONE DURING TRADING; REFER P&C BUSINESS TO HELP CLIENTS IN THE AREA, RECEIVE SMALL REFERRAL FEE

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-07-27
• S63 Uniform Securities Agent State Law Examination
  1990-07-20

Other Names

• Kimo Middlesworth