James Moorhead Vermilye

Current Employers

Employment History

• 08/2012 → 11/2020
  Robert W. Baird & Co. Incorporated
  Easton, MD
• 11/2020 → Present
  Morgan Stanley Smith Barney Llc
  Annapolis, MD
• 12/2020 → Present
  Morgan Stanley Private Bank, N.A.
  New York, NY

Previous Registrations

• 2012-08-10 → 2020-12-02
  Robert W. Baird & Co. Incorporated
  Easton, MD
  Towson, MD
• 2009-07-21 → 2012-08-20
  Lpl Financial Llc
  Centreville, MD
  Easton, MD
• 2007-10-01 → 2009-07-21
  Lpl Financial Llc
  Fort Mill, SC
  Centreville, MD
  Easton, MD
• 2005-06-14 → 2009-07-21
  Uvest Financial Services Group, Inc.
  Easton, MD
  Easton, MD
  Easton, MD

Other Businesses

*418923 - Mid Shore Community Foundation; Investment related No; Easton, MD; Non-Profit, Charitable; Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); June 2004; During business hours: 0; After business hours: 1; Accounting/Bookkeeping MEMEBER BOARD BAAM 1% OF TIME NO COMPENSATION. PLANNED GIVING COMMITTEE AT ANNE ARUNDEL HEALTH SYSTEM 1% OF TIME NO COMPENSATION. MEMBER BOARD CHESAPEAKE COLLEGE FOUNDATION 1% TIME NO COMPENSATION. NAME AND ADDRESS: CHESAPEAKE COLLEGE FOUNDATION P.O. BOX 8 WYE MILLS, MD 21679 NATURE OF ENTITY: HELP RAISE MONEY FOR COMMUNITY COLLEGE RESPONSIBILITIES IN THIS ROLE: WORK WITH OTHER MEMBERS OF BOARD TO HELP MAKE SURE ENTITY RUNS SMOOTHLY. AS TREASURER I HELP REVIEW PERFORMANCE OF THEIR MONEY MANAGER, I DO NOT PLACE ANY TRADES OR DIRECT HOW THEY INVEST THE ASSETS. IF THEY ARE DEEMED TO NOT BE DOING A GOOD JOB THE ORGANIZATION WOULD REQUEST PROPOSALS FROM NEW MONEY MANAGERS. HOURS DEVOTED:1 HOUR PER MONTH. NONE DURING SECURITIES TRADING HOURS. Critchlow Adkins Childrens Center; Investment-related; 7 S Park St, Easton, Maryland 21601; Non-Profit/Charitable; Investment Committee Member; Start Date: 2/1/17; Appx hrs/month: 1 hours/month, Hrs during trading: 0 hours/year; Duties: I am a member of the investment committee. We review budget, approve budget and discuss various financial concerns that come up from time to time. Name: BAAM; Not Investment-related; Address: P.O. Box 1066, Easton MD 21601; Nature: Non-Profit; Role: Board Member/ Treasurer; Start Date: July 2011; Appx hrs: 1 hour/month; Hrs during trading: 0; Duties: Work with other members of Board to help make sure entity runs smoothly. As treasurer, I will occasionally have to sign checks requested by board president and drawn up by the controller, I will not have access to any blank checks, they are all held by the controller.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-12-15
• S63 Uniform Securities Agent State Law Examination
  1997-02-06

Designations

Other Names

• Jim Vermilye