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RIA / WealthAdvisor32 years in industry

JAMES HARRISON WAUGH

Advisor at VIMA, LLC

TROY, MI

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Search this name across graphsid dfx:ria:3f6849c6-a442-072c-a432-2baf45f445f3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 26, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VIMA, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 7, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jul 7, 1994
First registration: Aug 26, 2010
Dual registered: no
Other names: JAMES HARRISON WAUGH|JAMES H WAUGH
IAPD individual key: 2493764

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VIMA, LLC	Independent wealth	Jan 8, 2026	n/a	yes	TROY, MI	Current employment
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Oct 5, 2016	Oct 2, 2018	no	OWOSSO, MI\|CHESANING, MI\|DURAND, MI\|OKEMOS, MI\|SOUTHFIELD, MI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 14, 2015	Aug 9, 2016	no	JACKSON, MI\|SAN DIEGO, CA\|KALAMAZOO, MI\|KALAMAZOO, MI\|KALAMAZOO, MI\|KALAMAZOO, MI\|JACKSON, MI	Previous registration
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	Dec 16, 2014	Feb 10, 2015	no	WILLIAMSTON, MI\|SARASOTA, FL	Previous registration
EAGLE STRATEGIES LLC	Bd affiliated wealth	May 29, 2014	Jul 1, 2014	no	OKEMOS, MI	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 26, 2010	Mar 19, 2014	no	SOUTHFIELD, MI\|SOUTHFIELD, MI\|South Lyon, MI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CITIZENS SECURITIES, INC.	VIMA, LLC	Oct 2, 2018	Jan 8, 2026	2,655	Firm change after gap	Ibd to RIA
LPL FINANCIAL LLC	CITIZENS SECURITIES, INC.	Aug 9, 2016	Oct 5, 2016	57	Firm change	Other
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	LPL FINANCIAL LLC	Feb 10, 2015	May 14, 2015	93	Firm change	Other
EAGLE STRATEGIES LLC	GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Jul 1, 2014	Dec 16, 2014	168	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	EAGLE STRATEGIES LLC	Mar 19, 2014	May 29, 2014	71	Firm change	Other

Relationships

Registered with (6)

→ VIMA, LLCRegistered adviserregistration: current employment
Jan 8, 2026 to presentfactForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Oct 5, 2016 to Oct 2, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 14, 2015 to Aug 9, 2016factForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
Dec 16, 2014 to Feb 10, 2015factForm ADV
→ EAGLE STRATEGIES LLCRegistered adviserregistration: previous registration
May 29, 2014 to Jul 1, 2014factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 26, 2010 to Mar 19, 2014factForm ADV

Dated events

No dated event names this entity yet.