JM
JM
James Mills
35 Years of Experience
Westlake Village, CA
2 DisclosuresBroker
James Mills is a registered investment advisor at Morgan Stanley, based in Westlake Village, CA, with 35 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
100 North Westlake Boulevard, Suite 200, Westlake Village, CA, 91362
Get directionsHistory
Regulatory History (2)
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Customer Dispute
August 2000Award / Judgment
Customer Dispute
September 1992Settled
Other Business Activities
James is a part owner of rental property in Mammoth Lakes, CA, spending minimal time on it. He is also the successor trustee for a trust in Oxford, Connecticut, dedicating minimal time to estate administration.
Employment History
Current Registrations
Morgan StanleyBroker
January 2014 - Present · 12 yrs 4 mos
Morgan Stanley
January 2014 - Present · 12 yrs 4 mos
Previous Registrations
UBS Financial Services INC.Broker
December 2005 - January 2014 · 8 yrs 1 mo
UBS Financial Services INC.
December 2005 - January 2014 · 8 yrs 1 mo
Lehman Brothers INC.
April 2002 - December 2005 · 3 yrs 8 mos
Lehman Brothers INC.Broker
March 2000 - December 2005 · 5 yrs 9 mos
Bear, Stearns & CO. INC.Broker
November 1994 - March 2000 · 5 yrs 4 mos
Kidder, Peabody & CO. IncorporatedBroker
October 1990 - November 1994 · 4 yrs 1 mo
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.