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James Albert Miller

Ubs Financial Services Inc.

Westport, CT

Mattituck, NY

Purchase, NY

Westport, CT

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2024-09-18
VT RA APPROVED 2024-07-01
NY RA APPROVED 2024-03-05
CT RA APPROVED 2013-01-10
NJ RA APPROVED 2013-01-02
  • ME RA
    APPROVED
    Since 2024-09-18
  • VT RA
    APPROVED
    Since 2024-07-01
  • NY RA
    APPROVED
    Since 2024-03-05
  • CT RA
    APPROVED
    Since 2013-01-10
  • NJ RA
    APPROVED
    Since 2013-01-02

Branch Locations

8 Wright Street 3Rd Floor, Westport, CT 06880 • United States

Mattituck, NY • United States

3 Manhattanville Road Suite 210, Purchase, NY 10577 • United States

8 Wright Street, Westport, CT 06880-4701 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Stamford CT 12/2012 Present
Previous Registrations
  • 2011-03-04 → 2012-12-13
    Msi Financial Services, Inc.
    New York, NY
    New York, NY
  • 2008-08-06 → 2009-04-24
    Equitable Advisors, Llc
    New York, NY
    Rye, NY
Other Businesses

LL BEAN OUTDOOR DISCOVERY SCHOOL / 1 RIDGE HILL BLVD YONKERS,NY 10710 / KAYAK/STAND-UP PADDLEBOARDING INSTRUCTOR/ START DATE 8/10/2014

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-07-31
  • S66 Uniform Combined State Law Examination
    2008-07-31

View on SEC IAPD

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Other Offices

QUORUS INC. · WESTPORT, CT
DIVYDE CAPITAL PARTNERS L.P. · WESTPORT, CT
MORGAN STANLEY · Westport, CT
EQUITABLE ADVISORS, LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
SENECA WEALTH ADVISORS, LLC · WESTPORT, CT
PARK AVENUE SECURITIES LLC · WESTPORT, CT

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