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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carl Miklas is an Investment Advisor Representative with Wellesley Asset Management, Inc. James has been in the industry since 1990. James has experience in various aspects of financial services including investment advisory, investment company products/variable contracts, and securities trading. James is currently registered with the Financial Industry Regulatory Authority (FINRA) and the state of New Hampshire. James has previously held positions with several other financial institutions including Principal Funds Distributor, Inc., Princor Financial Services Corporation, and Phoenix Equity Planning Corporation. James has a broad range of client experience and specializes in providing investment advice to individuals, families, and businesses. James is committed to providing high-quality service and personalized attention to all of James clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
FL
02/05/2025 - Present
Wellesley Asset Management, Inc. (Longboat Key FL)
CA
01/15/2016 - 01/30/2017
PRINCIPAL FUNDS DISTRIBUTOR, INC. (FOLSOM CA)
IA
09/06/2010 - 04/05/2016
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
CT
02/24/1995 - 09/16/2008
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
CT
04/23/1990 - 12/31/1993
NSR DISTRIBUTORS, INC. (ENFIELD CT)
MA
03/31/1989 - 03/19/1990
KRUPP SECURITIES CORPORATION (BOSTON MA)
NA
02/06/1987 - 10/25/1988
SHEARSON LEHMAN HUTTON INC.
NA
09/27/1985 - 02/17/1987
JACQUES-MILLER INVESTMENT COMPANY
NA
08/13/1985 - 09/18/1985
HALL SECURITIES CORPORATION
IA
Issued 10/07/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
BC
Issued 08/12/1985
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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