James Waugh has been an investment adviser representative at Vima since November 2018, and is not listed among the firm’s executive officers or direct owners.
Vima, LLC is a Troy, MI firm with $229M under management, 1,182 clients and 12 advisers in one office, as of its May 2026 filing.
James Waugh’s longest registration is the current one, 7 years at Vima since 2018. Before joining Vima in 2018, James Waugh was registered through Citizens Securities, Inc. and LPL Financial LLC.
- Citizens Securities, Inc.– · 1 yearOwosso, MI · Adviser representative · Firm CRD 39550
- LPL Financial LLC– · 1 yearKalamazoo, MI · Adviser representative · Firm CRD 6413
- Global Financial Private Capital, LLC– · under a yearWilliamston, MI · Adviser representative · Firm CRD 132070
- Eagle Strategies LLC– · under a yearOkemos, MI · Adviser representative · Firm CRD 110826
- Ameriprise Financial Services, Inc.– · 3 yearsSouthfield, MI · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
James Waugh is registered as an investment adviser representative in Michigan, since November 2018.
- MichiganSince 9 November 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 16 July 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 July 1994 |
| Series 7 | General Securities Representative Examination | 24 June 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Harrison Waugh
- CRD
- 2493764
- Firm
- Vima · CRD 148833
- Office
- 46 EAST SQUARE LAKE RD., Troy, MI 48085
- Registration
- Investment adviser registration
- In the industry since
- July 1995
- Disciplinary history
- Not yet shown here · SEC record
Where does James Waugh work?
James Waugh is an investment adviser representative registered through Vima, LLC since November 2018, and is not listed among the firm’s executive officers or direct owners.
Is James Waugh a financial advisor?
Yes. James Waugh has a current investment-adviser registration in Michigan, through Vima since November 2018.
How many years of experience does James Waugh have?
James Waugh has 31 years in the financial industry, since July 1995, across 6 adviser firms.
What exams has James Waugh passed?
James Waugh has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in June 1994. FINRA credited James Waugh with the SIE, which began in October 2018.
Where did James Waugh work before Vima?
Before Vima, James Waugh was registered through Citizens Securities, Inc., October 2016 to October 2018; LPL Financial LLC, May 2015 to August 2016; Global Financial Private Capital, LLC, December 2014 to February 2015; Eagle Strategies LLC, May 2014 to July 2014; Ameriprise Financial Services, Inc., August 2010 to March 2014.
Where is James Waugh based?
James Waugh’s registered office is in Troy, MI.
Is James Waugh registered with FINRA?
No. James Waugh has no current broker registration.
How can I verify James Waugh’s record?
Search CRD 2493764 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Waugh’s full registration record.