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James Harrison Waugh

Vima, LLC

Troy, MI

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Current Employers
Vima, Llc

46 East Square Lake Rd., Troy, MI 48085 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2026-01-08
  • MI RA
    APPROVED
    Since 2026-01-08

Branch Locations

46 East Square Lake Rd., Troy, MI 48085 • 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
Citizens Securities, Inc. Southgate MI 09/2016 10/2018
Vima, Llc. 901 Wilshire Dr. Suite #530 MI 11/2018 Present
Previous Registrations
  • 2016-10-05 → 2018-10-02
    Citizens Securities, Inc.
    Owosso, MI
    Chesaning, MI
    Durand, MI
    Okemos, MI
    Southfield, MI
  • 2015-05-14 → 2016-08-09
    Lpl Financial Llc
    Jackson, MI
    San Diego, CA
    Kalamazoo, MI
    Kalamazoo, MI
    Kalamazoo, MI
    Kalamazoo, MI
    Jackson, MI
  • 2014-12-16 → 2015-02-10
    Global Financial Private Capital, Inc.
    Williamston, MI
    Sarasota, FL
  • 2014-05-29 → 2014-07-01
    Eagle Strategies Llc
    Okemos, MI
  • 2010-08-26 → 2014-03-19
    Ameriprise Financial Services, Llc
    Southfield, MI
    Southfield, MI
    South Lyon, MI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-07-16
S63 Uniform Securities Agent State Law Examination 1994-07-07
  • S66 Uniform Combined State Law Examination
    2010-07-16
  • S63 Uniform Securities Agent State Law Examination
    1994-07-07
Other Names
  • James Harrison Waugh
  • James H Waugh

View on SEC IAPD

Other Firms

COOK & ASSOCIATES
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
SPC
CETERA INVESTMENT ADVISERS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
STRAIGHTLINE
MAXWELL INVESTMENT ADVISORY SERVICES

Other Investors

MATTHEW PAUL COOK
AMY LYNN ROBERTS
MICHAEL A JUSTIN
BRUCE CRAIG GREENING
STEVEN THOMAS MARLETTE
MICHAEL DAVID VICHUNAS
Quinn J Wright
DAVID JAMES SMOLAREK

Other Offices

COOK & ASSOCIATES · TROY, MI
LPL FINANCIAL LLC · TROY, MI
LPL FINANCIAL LLC · TROY, MI
STATE FARM INVESTMENT MANAGEMENT CORP. · Troy, MI
SPC · Troy, MI
CETERA INVESTMENT ADVISERS LLC · TROY, MI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Troy, MI
STRAIGHTLINE · TROY, MI

More in Troy, MI

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