Seth R. Miller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Seth Robert Miller was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1995. Seth had worked at 5 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2005 - February 15, 2006
UBS CAPITAL MARKETS L.P.
February 12, 2001 - March 26, 2014
UBS SECURITIES LLC
February 19, 1999 - February 28, 2000
BANC OF AMERICA SECURITIES LLC
March 26, 1997 - January 29, 1999
HAMBRECHT & QUIST LLC
May 10, 1995 - August 19, 1996
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 2/13/2001
Limited Representative-Equity Trader ExamCurrent Firm
UBS CAPITAL MARKETS L.P.
CRD#: 2692 / SEC#: , 8-13535
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS, INC | GENERAL PARTNER | |
| UBS AMERICAS, INC. | LIMITED PARTNER | |
| CS CAPITAL MARKETS & CO. | GENERAL PARTNER OF SCHWAB CAPITAL MARKETS L.P. | |
| LEIBOWITZ, LAWRENCE EDWARD | CO-EXECUTIVE VICE PRESIDENT | 2024745 |
| MCISAAC, DANIEL THOMAS | EXECUTIVE DIRECTOR, CFO, HEAD OF REGULATORY REPORTING | 1543499 |
| MECANE, JOSEPH MICHAEL | VICE PRESIDENT & COO | 3114744 |
| SIMMES, STEPHEN ANDREW | COMPLIANCE DIRECTOR | 4319792 |
| SOUNDVIEW TECHNOLOGY GROUP, INC. | LIMITED PARTNER OF UBS CAPITAL MARKETS, L.P. |
Disclosures
| Regulatory Event | 27 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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