Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rainey? Claim Your ProfileRainey Lorraine Miller is an investment advisor representative at UBS Financial Services Inc. Rainey Miller has been in the financial services industry since 2001. Rainey Miller is registered with FINRA and the states of Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Indiana, Maryland, Massachusetts, Michigan, New Jersey, New York, Pennsylvania, Rhode Island, South Carolina, Texas, and Virginia. Rainey Miller has passed the Series 7, Series 31, Series 63, Series 65, and SIE exams. Rainey Miller has a designation as a Certified Financial Planner. Rainey Miller has been affiliated with UBS Financial Services Inc. since April 2013. Prior to that, Rainey Miller was affiliated with MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and CHRISTOPHER STREET FINANCIAL, 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
NY
10/30/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
06/01/2009 - 04/29/2013
MORGAN STANLEY (NEW YORK NY)
NY
12/12/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/14/2002 - 12/13/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/06/2000 - 10/12/2001
CHRISTOPHER STREET FINANCIAL, INC. (NEW YORK NY)
IA
Issued 04/30/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 10/30/2000
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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