Experience

Jim Miller joined UBS is 2012 and is the Assistant Market Head for the Soundview Market.

In his role as Assistant Market Head Jim is focused on supporting and driving business growth for approximately 200 Financial Advisors in eight locations overseeing more than 30 billion in assets.

Prior to joining UBS, Jim’s Financial Services career spanned roles in consulting and management including as a producing Branch Manager at AXA Private Markets and the Director of Compliance and Operations at MetLife Securities.

Jim is NYS Insurance licensed and holds FINRA Series 4, 7, 24, 53, 66 licenses. Jim holds a Bachelor’s of Science in Psychology from Saint Louis University and a Masters of Business Administration from Iona College.

Jim lives in New Rochelle, NY with his wife Pam. He is a passionate outdoorsman having spent time as a certified river guide, as well as ski, kayaking, and stand-up paddleboard instructor.

Charlie began his career in the financial services industry in 1989 working with John Hancock Financial Services. In addition to his current role as Administrative Manager of both the Westport and New Haven offices, he has held various positions at financial institutions including Supervisory Principal and Operations Manager. Charlie joined UBS in 2006 as Administrative Manager in the Stamford office and joined the New Haven office in 2010. He holds FINRA Series 6, 7, 9, 10 and 63 security licenses as well as various insurance licenses. Charlie received a B. S. degree in Education from Rhode Island College.

As the Administrative Officer, Alex is responsible for hiring, training, developing, and supervising staff, as well as ensuring efficient branch administration and a positive experience for the clients we serve. Prior to this role, Alex spent 7 years at Fidelity Investments in a multitude of positions. Starting as a Credit Risk Analyst,  he then transitioned to a Financial Representative for Fidelity’s Personal Investing Unit, and then most recently served as a Service Specialist in Fidelity’s Wealth Management Service Group.

Alex earned his B.A. in Political Science from Miami University (OH). He is also FINRA registered holding his Series 7, 66, and 9/10 Licenses.

Born and raised in Darien. CT, Alex enjoys spending time either on the water or on the golf course. His hobbies include playing Chess and spending time with his siblings/family who still live in the area. One of Alex’s goals is to try and visit every national park in the USA!