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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Nelson Miller is a financial advisor with UBS Financial Services Inc. based in St. Louis, Missouri. David Miller has over 25 years of experience in the financial services industry and is registered with both FINRA and the Securities and Exchange Commission. David Miller's specialties include Portfolio Management for Individuals and Businesses, Financial Planning, and Pension Consulting. David Miller also provides educational seminars to clients. Previously, David Miller was employed with DAIN RAUSCHER INCORPORATED, where he was registered as an investment advisor representative.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
MO
06/27/2007 - Present
UBS Financial Services Inc. (ST. LOUIS MO)
NY
03/02/1998 - 03/23/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
09/04/1996 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
IA
Issued 04/07/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/10/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/04/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/27/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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