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SARAH MILLER SULLIVAN
SARAH ELISABETH MILLER
CRD#: 1241188
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 CORNVILLE, AZ
Registration History
198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2010 - Present (14 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - Present (30 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1984 - 1995 (10 years)
License(s)

State Registrations

B
Alaska 12/8/2023

B
Michigan 12/8/2023

B
Arizona 1/28/1995

B
Nevada 12/8/2023

B
California 12/20/2019

B
New Hampshire 1/28/1995

B
Colorado 7/8/2020

B
New Jersey 6/17/2015

B
Connecticut 1/28/1995

B
New York 2/9/2022

B
Delaware 1/31/2023

B
Ohio 10/29/2024

B
District of Columbia 12/8/2023

B
Oregon 2/8/2010

B
Florida 1/28/1995

B
Pennsylvania 12/7/2023

B
Georgia 12/8/2023

B
South Carolina 11/5/2024

B
Hawaii 12/8/2023

IA
Texas 7/16/2010

IA
Hawaii 9/20/2024

B
Texas 12/7/2023

B
Idaho 12/8/2023

B
Vermont 1/28/1995

B
Illinois 12/7/2023

B
Virginia 1/28/1995

B
Maine 1/28/1995

B
Washington 7/26/2023

B
Massachusetts 1/28/1995

B
Wyoming 12/8/2023

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
CORNVILLE, AZ
Lahaina, HI
Registered with this firm since 7/16/2010

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
CORNVILLE, AZ
Lahaina, HI
Registered with this firm since 1/28/1995

Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/24/1984 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.