James Miller (CRD# 6032777) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Buffalo, NY and has over 11 years of experience in the finance industry.
CRD# 1234546
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 1604730
Lytle Investments
CRD# 6254146
Equitable Advisors, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Ubs Financial Services | Buffalo, NY | Apr 2019 - Current | 5 |
| Morgan Stanley Private Bank, National Association | New York, NY | Jan 2015 - Apr 2019 | 4 |
| Morgan Stanley Smith Barney | Buffalo, NY | Feb 2012 - Apr 2019 | 7 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | May 2012 |
- NJ
- NY
- TX
-
Total Assets Under Management702,387MILLIONS
-
Total Number of Accounts1,093,486ACCOUNTS
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Average Account Value$642,338
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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