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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Joseph Miller is a financial advisor at UBS Financial Services Inc. John Miller is based in Minneapolis, Minnesota and has been in the industry since 1986. John Joseph Miller holds licenses in several states, including Minnesota, Iowa, Texas, and others. John Joseph Miller is registered to provide investment advisory services and brokerage services. John Joseph Miller is also a registered principal with UBS Financial Services Inc.
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
MN
09/12/2006 - Present
UBS Financial Services Inc. (MINNEAPOLIS MN)
MN
05/11/1999 - 08/12/2006
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
MN
09/30/1997 - 05/13/1999
DOUGHERTY SUMMIT SECURITIES LLC (MINNEAPOLIS MN)
MN
04/07/1989 - 09/30/1997
DOUGHERTY DAWKINS LLC (MINNEAPOLIS MN)
NA
06/01/1987 - 04/19/1989
MARCOTTE HUME & ASSOCIATES INCORPORATED
NA
06/26/1986 - 06/11/1987
WADDELL & REED, INC.
IA
Issued 11/5/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/25/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/18/1999
Series 7 - General Securities Representative Examination
BC
Issued 4/20/1990
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 8/5/1987
Series 52 - Municipal Securities Representative Examination
BC
Issued 9/16/1986
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 6/25/1986
Series 6 - Investment Company Products/Variable Contracts 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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