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Marshall Miller
CRD#: 7429722
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 4400 POST OAK PARKWAY
20TH FLOOR
HOUSTON, TX 77027
Registration History
JulOct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Texas 5/17/2022

IA
Texas 5/17/2022

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

View Exams Passed by the individual in the detailed report

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)
4400 POST OAK PARKWAY 20TH FLOOR, HOUSTON, TX 77027
Registered with this firm since 5/17/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
4400 POST OAK PARKWAY 20TH FLOOR, HOUSTON, TX 77027
Registered with this firm since 1/24/2022

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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.