James Edward Miller

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2018-11-02
TX	RA	APPROVED	2018-11-02

CA RA
APPROVED

Since 2018-11-02
TX RA
APPROVED

Since 2018-11-02

Branch Locations

Fullerton, CA • 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

Organization	City	State	From	To
Signator Investors, Inc.	Boston	MA	12/1973	11/2018
Royal Alliance Associates, Inc.	Irvine	CA	11/2018	Present

12/1973 → 11/2018

Signator Investors, Inc.

Boston, MA
11/2018 → Present

Royal Alliance Associates, Inc.

Irvine, CA

Previous Registrations

2006-03-20 → 2018-11-02

Signator Investors, Inc.

Irvine, CA

Irvine, CA
2011-09-13 → 2014-11-19

Signature Resources Capital Management, Llc

Newport Beach, CA
1997-07-08 → 2006-02-24

Visionlink Financial Advisors, Inc.

Irvine, CA

Other Businesses

1. JIM MILLER POSITION: Sales Rep NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 11/25/2019 ADDRESS: 2834 Alderberry Court, Fullerton CA 92835, United States DESCRIPTION: Insurance sales

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-05-11

S66 Uniform Combined State Law Examination

1999-05-11

Designations

Certified Financial Planner
Chartered Financial Consultant

Other Names

Jim Miller

View on SEC IAPD