Kathryn M Miller

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/1998 → 12/2017
  One Orchard Equities, Inc.
  Columbus, OH
• 10/2002 → 12/2017
  Benefitscorp Equities, Inc.
  Greenwood Village, CO
• 12/2017 → 10/2022
  Ubs Fiancial Services Inc.
  New Albany, OH
• 10/2022 → 04/2023
  Rbc Capital Markets, Llc
  Indianapolis, IN
• 05/2023 → Present
  Ubs Financial Services, Inc.
  Nashville, TN

Previous Registrations

• 2022-10-27 → 2023-05-11
  Rbc Capital Markets, Llc
  Indianapolis, IN
  Johnstown, OH
• 2019-04-26 → 2022-11-04
  Ubs Financial Services Inc.
  New Albany, OH
  Indianapolis, IN

Other Businesses

Johnstown HS Big Red Band/ investment related?:no / 445 South Main St, Johnstown, Ohio, 43031, US/ Charity/ Officer/ Treasurer - review financial statements and report to the Executive committee and Board. Review 990/start date: 6/1/2021

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-03-15
• S63 Uniform Securities Agent State Law Examination
  1998-12-22

Other Names

• Kathryn Michelle Frazier
• Katie M Miller
• Kathryn Miller
• Kathryn Michelle Miller
• Kathryn M Miller