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James Franklin Minich

Minichmacgregor Wealth Management, LLC

St Augustine, FL

Saratoga Springs, NY

Spring Green, WI

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Current Employers
Minichmacgregor Wealth Management, Llc

21 Congress Street Suite 203, Saratoga Springs, NY 12866 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-08-10
FL RA APPROVED 2013-02-28
  • TX RA
    APPROVED_RES
    Since 2020-08-10
  • FL RA
    APPROVED
    Since 2013-02-28

Branch Locations

St Augustine, FL • United States

21 Congress Street Suite 203, Saratoga Springs, NY 12866 • United States

Spring Green, WI • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Minich Macgregor Wealth Management Saratoga Springs NY 09/2009 Present
Purshe Kaplan Sterling Investments Albany NY 09/2009 11/2022
Minichmacgregor Wealth Managment St Augustine FL 01/2012 Present
  • 09/2009 → Present
    Minich Macgregor Wealth Management
    Saratoga Springs, NY
  • 09/2009 → 11/2022
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 01/2012 → Present
    Minichmacgregor Wealth Managment
    St Augustine, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-02-15
S63 Uniform Securities Agent State Law Examination 1987-08-01
  • S65 Uniform Investment Adviser Law Examination
    2013-02-15
  • S63 Uniform Securities Agent State Law Examination
    1987-08-01

View on SEC IAPD

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