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.