Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Albert Miller is a financial advisor with UBS Financial Services Inc., a firm that provides investment advisory services to a variety of clients, including individuals, corporations, and institutions. James has been a registered representative for over 16 years. James has a strong background in financial planning, portfolio management, and securities trading. Before UBS, James was with MetLife Securities Inc. and AXA Advisors, LLC. James is licensed to provide investment advice in Connecticut, Maine, New Jersey, New York, and Vermont. James is also a registered principal, allowing James to supervise other financial advisors. James holds several professional designations and has passed the Series 4, 7, 9, 10, 24, 53, and 66 exams. In addition to James's financial services career, James also enjoys teaching kayaking and stand-up paddleboarding.
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
NY
07/01/2024 - Present
UBS Financial Services Inc. (Purchase NY)
NY
12/09/2009 - 12/13/2012
METLIFE SECURITIES INC. (NEW YORK NY)
NY
12/04/2006 - 04/24/2009
AXA ADVISORS, LLC (RYE NY)
BOTH
Issued 07/31/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/17/2013
Series 4 - Registered Options Principal Examination
BC
Issued 11/17/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/26/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/2006
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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