James Carl Miklas

Wellesley Asset Management, INC.

35 Years of Experience

1 DisclosureBroker

View SEC Summary

Areas of Practice

Investment ManagementHigh Net Worth

Wellesley Asset Management, INC.

Compensation

Fee-Only (AUM)

Firm Size

16 advisors

Number of Clients

1,478 clients

Average Client Portfolio

$1.4M average

Assets Under Management

$2.1B

Fee Structure

Minimum Investment:$500K

Financial Planning:Investment management only

Location

100 Market Street, Suite 203, Portsmouth, NH, 03801

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History

Regulatory History (1)

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Customer Dispute

June 1998

Denied

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Other Business Activities

James is a Director at Wellesley Asset Management, Inc. since 2017, dedicating full-time hours to this role.

Employment History

Current Registrations

Wellesley Asset Management, INC.

February 2025 - Present · 1 yr

Foreside Fund Services, LLC

November 2017 - Present · 8 yrs 3 mos

Foreside Fund Services, LLCBroker

November 2017 - Present · 8 yrs 3 mos

Previous Registrations

Principal Funds Distributor, INC.Broker

January 2016 - January 2017 · 1 yr

Princor Financial Services CorporationBroker

September 2010 - April 2016 · 5 yrs 7 mos

Phoenix Equity Planning CorporationBroker

February 1995 - September 2008 · 13 yrs 7 mos

Nsr Distributors, INC.Broker

April 1990 - December 1993 · 3 yrs 8 mos

Krupp Securities CorporationBroker

March 1989 - March 1990 · 1 yr

Shearson Lehman Hutton INC.Broker

February 1987 - October 1988 · 1 yr 8 mos

Jacques-Miller Investment CompanyBroker

September 1985 - February 1987 · 1 yr 5 mos

Hall Securities CorporationBroker

August 1985 - September 1985 · 1 mo

State Registrations13 states

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AdvisorBrokerBoth

Exams

No exam information available for this advisor.