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DANIEL FRANCIS MILLER
CRD#: 2816732
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 681 EAST LAKE STREET
SUITE 354
WAYZATA, MN 55391
Registration History
19901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2010 - Present (14 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - Present (16 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2004 - 2009 (4 years)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2004 (4 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1996 - 1999 (3 years)
Disclosure(s)
View By:
3/30/1989
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 12/17/2014

B
Montana 1/28/2009

B
Arkansas 1/12/2023

B
New Jersey 4/20/2022

B
California 1/28/2009

B
New Mexico 6/27/2023

B
Colorado 1/28/2009

B
New York 8/23/2022

B
Delaware 12/5/2018

B
North Carolina 1/5/2019

B
District of Columbia 6/27/2023

B
Ohio 10/5/2021

B
Florida 2/26/2016

B
Oregon 12/10/2019

B
Georgia 10/28/2015

B
Pennsylvania 6/28/2023

B
Idaho 2/24/2016

B
South Carolina 2/25/2016

B
Illinois 2/26/2016

B
South Dakota 1/28/2009

B
Indiana 8/24/2022

B
Tennessee 6/28/2023

B
Iowa 1/28/2009

B
Texas 1/28/2009

B
Kentucky 6/29/2023

IA
Texas 3/19/2010

B
Maryland 6/30/2023

B
Utah 8/8/2023

B
Massachusetts 2/26/2016

B
Virginia 1/28/2009

B
Michigan 7/19/2023

B
Washington 4/18/2016

B
Minnesota 1/28/2009

B
Wisconsin 1/28/2009

IA
Minnesota 11/18/2013

B
Wyoming 3/27/2024

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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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
681 EAST LAKE STREET SUITE 354, WAYZATA, MN 55391
Edina, MN
Registered with this firm since 3/19/2010

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
681 EAST LAKE STREET SUITE 354, WAYZATA, MN 55391
Edina, MN
Registered with this firm since 1/28/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/15/2004 - 02/12/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WAYZATA, MN
B
11/17/1999 - 10/21/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
11/20/1996 - 11/10/1999 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) 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.