James King Miller

CRD 3043366 · Morgan Stanley · Louisville, KY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 31Series 7
Registered states (19): California · Delaware · Florida · Georgia · Illinois · Indiana · Kentucky · Maryland · Michigan · Nevada · New York · North Carolina · Ohio · Pennsylvania · South Carolina · Tennessee · Texas · Virginia · Wisconsin
Years in the industry (source record): 28
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (10)

From the source registration record · current first

Morgan StanleyCurrent
Louisville, KY · IA capacity

Aug 28, 2009 → present
J.P. Morgan Securities Inc.
BD capacity

Oct 1, 2008 → Sep 1, 2009
J.P.Morgan Securities Inc.
IA capacity

Oct 1, 2008 → Sep 1, 2009
J. P. Morgan Securities Inc.
IA capacity

Sep 27, 2006 → Oct 1, 2008
J.P. Morgan Securities Inc.
BD capacity

Jul 1, 2006 → Oct 1, 2008
Jpmorgan Securities Inc
IA capacity

Jul 13, 2004 → Sep 27, 2006
Banc One Securities Corporation
BD capacity

Jul 13, 2004 → Jul 1, 2006
Raymond James Financial Services
IA capacity

Jun 11, 2002 → Jul 8, 2004
Raymond James Financial Services, Inc.
BD capacity

Jun 23, 2000 → Jul 8, 2004
J.C. Bradford & Co.
BD capacity

Jun 10, 1998 → Jun 29, 2000

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 3043366 ↗ FINRA BrokerCheck record for CRD 3043366 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.