UBS Financial Services, Inc
Industry: Investment banking company
DescriptionUBS Group AG is a Swiss multinational investment bank and financial services company founded and based in Switzerland. Co-headquartered in the cities of Zürich and Basel, it maintains a presence in all major financial centers as the largest Swiss banking institution in the world. CEO: Sergio Ermotti (15 Nov 2011–) Customer service: 020 7567 8000 Headquarters: Basel, Switzerland Subsidiaries: UBS Limited, UBS Investment Bank,
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UBS Financial Services, Inc Employees
UBS Financial Services, Inc. July 2010 - Present
UBS Financial Services, Inc. July 2006 - July 2010
UBS Financial Services, Inc. December 2005 - June 2006
Eyetech Pharmaceuticals November 2002 - November 2005
Eyetech Pharmaceuticals November 2002 - November 2005
Eyetech Pharmaceuticals November 2002 - November 2005
UBS Financial Services, Inc. March 1999 - November 2002
UBS Financial Services, Inc. March 1999 - November 2002
Skills
Access, Administrative..., Banking, Equities, Lotus Notes, Management, Microsoft Excel, Microsoft Office, Office Management, Outlook, PeopleSoft, PowerPoint, Risk Management, Securities, Spreadsheets, Travel Arrangements, Wealth Management
Education
Fashion Institute of Technology 2004 — 2005
Advertising and Marketing Communications
Berkeley College 1987 — 1988
Administrative/Business
Standard & Poor's January 2015 - Present
Money by Maggi September 2012 - December 2014
UBS Financial Services, Inc. March 2010 - September 2012
Gabelli Asset Management August 2008 - March 2010
Merrill Lynch May 2007 - July 2008
Fairfield University September 2006 - May 2008
Skills
Series 7, Hedge Funds, Bloomberg, Alternative Investments, Series 63, Equities, Asset Managment, Fixed Income, Mutual Funds, Equity Research, Investments, Asset Allocation, Portfolio Management, Wealth Management, Uniform Combined State..., Chartered Financial..., Trading, Valuation, Investment Management, Asset Management
Education
Fairfield University 2004 — 2008
B.S., Finance, Economics
UBS Financial Services, Inc. November 2008 - Present
Merrill Lynch June 2007 - November 2008
Education
East Carolina University - College of Business 2003 — 2007
Finance
UBS Financial Services, Inc. January 2007 - Present
Smith Barney/ Citigroup 1988 - 2007
Kidder Peabody 1982 - 1988
Mobil Oil 1979 - 1982
Education
City University of New York
UBS Financial Services, Inc. January 2013 - Present
UBS Financial Services, Inc May 2010 - December 2012
Education
College of Charleston 2007 — 2010
Bachelor of Science (B.S.), Economics
Kimball Union Academy 2001 — 2005
UBS Financial Services, Inc. January 2009 - Present
Merrill Lynch 2002 - 2008
Macedonio, Toerek & Box LPA May 1997 - September 2002
Education
University of Akron School of Law 1988 — 1991
JD, Law
Canisius College 1977 — 1981
BS, Accounting
Morgan Stanley April 2014 - Present
UBS Financial Services Inc. February 2011 - March 2014
UBS Financial Services, Inc. January 2010 - February 2011
UBS Financial Services, Inc. January 2009 - December 2009
UBS Financial Services, Inc. June 2006 - December 2008
The Ocean Course- Kiawah Island Golf Resort February 2004 - June 2008
UBS Financial Services Inc. January 2006 - June 2006
Skills
Financial Services, Wealth Management, Investments, Portfolio Management, Asset Allocation, Strategic Financial...
Education
College of Charleston 2002 — 2006
Bachelor of Science (B.S.), Business Administration and Management, General
The John Carroll School 1998 — 2002
UBS Financial Services, Inc. 2012 - Present
Morgan Stanley Smith Barney December 2010 - 2012
Education
California State University-Sacramento 1992 — 1995
BS, Strategic Management
Morgan Stanley Private Wealth Management 2015 - Present
UBS Financial Services, Inc. 2013 - 2015
Titan LED 2011 - September 2013
Golden Triangle February 2012 - August 2013
Moss and Company 2011 - 2013
Consolidated Smart Systems January 2007 - March 2011
U.S. Coast Guard December 2002 - December 2006
Best Buy May 2002 - December 2002
Education
California State University-Northridge
Bachelor of Arts (BA), Communications
Los Angeles Valley College
Associate of Science (AS), Fire Science and Technology
Merrill Lynch March 2015 - Present
UBS Financial Services, Inc. October 2010 - March 2015
Wachovia Securities April 2006 - May 2008
Smith Barney July 1997 - April 2006
Education
Emory University 1984 — 1988
BA, Economics
Ameriprise Financial Services, Inc. November 2012 - Present
UBS Financial Services, Inc. March 2009 - November 2012
Education
Dominican College of Blauvelt 1978 — 1979
Bachelor of Arts (B.A.), History and Political Science
Regal Securities, Inc. April 2011 - April 2015
JPMorgan Chase June 2010 - December 2010
@properties August 2008 - August 2009
UBS Financial Services, Inc. February 2008 - June 2008
Skills
Series 7, Series 63, Options, Investments, Securities, Trading, Mutual Funds, Financial Services, FINRA, Risk Management, Wealth Management, Asset Management
Education
DePaul University 2004 — 2008
Bachelor of Science in Commerce, Economics
UBS Financial Services, Inc. November 1983 - Present
Eastside FC 1994 - 2012
University of Washington 1979 - 1982
University of Washington 1978 - 1981
Education
University of Washington 1978 — 1982
M.S., Social Psychology, Administration
Dartmouth College 1971 — 1976
B.S., Latin American Studies/Economics
St. Louis University High School 1967 — 1971
UBS Financial Services, Inc. July 2013 - January 2015
J.P. Morgan Securities January 2012 - June 2013
New York Life Insurance Company May 2011 - December 2011
Walton International Group, USA January 2008 - February 2010
Charles Schwab October 2006 - December 2007
Skills
Finance
Education
The Ohio State University - The Max M. Fisher College of Business 2002 — 2006
Bachelor of Science (BS), Marketing
Boston Institute of Finance
Certified Financial Planning
College for Financial Planning
Certified Financial Planning
TIAA-CREF December 2014 - Present
E*TRADE Financial August 2013 - October 2014
UBS Financial Services, Inc. December 2009 - August 2013
Bank of America Home Loans March 2009 - December 2009
Banc of America Investment Services, Inc. July 2008 - March 2009
E*TRADE Financial, (formerly HARRISdirect, LLC) October 2005 - July 2008
HARRISdirect, LLC, (formerly CSFBdirect, Inc., DLJdirect, Inc.) June 1999 - October 2005
Skills
Series 7, Series 63, Series 24, Series 4, Series 55, Series 53, Series 66
Education
Canisius College
Bachelor of Arts Degree, Spanish
Pacific Life Insurance Company June 2010 - Present
UBS Financial Services, Inc. July 2009 - March 2010
UBS Financial Services, Inc. August 2006 - June 2009
UBS Financial Services, Inc September 2004 - August 2006
Capitas Financial December 2002 - September 2004
UBS Financial Services, Inc. April 1992 - December 2002
Skills
Advanced Sales, Executive Benefits, Estate Planning, Financial Services, Life Insurance, Retirement Planning
Education
University of South Florida 1978 — 1982
BA, Marketing
College for Financial Planning
CRPC, Retirement and Financial Planning
The American College
CLU, Insurance and Financial Planning
Northwest Asset Management March 2014 - Present
UBS Financial Services, Inc. July 2007 - December 2013
Smith Barney July 1999 - March 2007
Oppenheimer and Company January 1996 - July 1999
Shinsei Bank May 1992 - January 1995
Citi January 1991 - May 1992
Education
Harvard Business School 1981 — 1983
Masters in Business Administration, Finance and Strategy
Duke University 1975 — 1979
Bachelor of Science in Engineering (Cum Laude), Control Systems
Stuyvesant High School, New York 1971 — 1975
High School, Mathematics and Computer Science
Stanford Graduate School of Business 1999 — 1999
Executive Education, Negotiation
Ameriprise Financial Services, Inc. January 2009 - Present
UBS Financial Services, Inc. April 2006 - December 2008
Prudential Financial Services, Inc. August 2000 - April 2005
Gartner 1986 - 2000
Education
Pace University 1984 — 1986
MS, Computer Science
Cornell University 1978 — 1982
BS, Pre-Vet
UBS Financial Services, Inc. January 2009 - Present
Smith Barney/ Legg Mason (merged 2005) May 1995 - January 2009
Education
College for Financial Planning 1999 — 2001
CFP, Finance
University of Maryland College Park
Economics
UBS Financial Services, Inc. June 2008 - Present
Education
The George Washington University 2005 — 2008
Bachelor of Science (BS), Economics
The George Washington University 2005 — 2008
Bachelor of Arts (BA), International Relations and Affairs
American School of the Hague
City University of Hong Kong
University of Maryland College Park
UBS Financial Services, Inc. May 2015 - Present
University of South Carolina Beaufort January 2015 - Present
PNC Institutional Investments February 2010 - September 2014
Boyd Watterson Asset Management August 2003 - March 2010
Oppenheimer Funds Inc. April 2000 - November 2002
Education
Wittenberg University 1975 — 1979
B.A., Double major: Business Administration/Economics
Cleveland State University 1984 — 1987
M.A. Economics, Economics
UBS Financial Services, Inc. September 2011 - Present
Education
Central Washington University 2006 — 2011
BS-Business Administration, Business Administration-Specialization in Human Resources
UBS Financial Services, Inc. November 2008 - Present
Morgan Stanley Wealth Management July 1999 - November 2008
Education
Duke University 1995 — 1999
Bachelor's degree
NYU 2003 — 2003
School of Continuing Professional Studies
Martin Wealth Management, Inc. November 2012 - Present
Martin Wealth Management, Inc. May 2008 - Present
Martin Wealth Management, Inc. June 2006 - Present
UBS Financial Services, Inc. September 2004 - June 2006
Education
University of Pennsylvania- The Wharton School (SF) 2013 — 2013
Ceritifed Investment Management Analyst (CIMA)
Columbia University - School of International and Public Affairs 2003 — 2004
MPA
University of California, Berkeley 1999 — 2003
Bachelor's degree
UBS Financial Services, Inc. January 2014 - Present
UBS Financial Services, Inc. December 2011 - December 2013
UBS Financial Services, Inc. August 2008 - December 2011
UBS Financial Services, Inc. August 2007 - August 2008
UBS Financial Services, Inc. March 2007 - July 2007
Guttenberg Board of Education September 2005 - June 2006
West New York Board of Education December 2003 - June 2005
Skills
Fluent in Spanish, Communication, Teamwork, Organization, Computer & Technical, Flexibility, Highly detail oriented, Interpersonal Skill, Willing to learn, Motivated self-starter, Problem Solving, SharePoint, RoboHelp, Articulate Suite, Adobe Acrobat, Corporate Communications, Marketing Communications, Web Site Production, Website Development, Wealth Management, Internal Communications, PowerPoint, Microsoft Office, Outlook, Marketing, Financial Services
Education
New Jersey City University 2002 — 2006
Master of Arts in Teaching (MAT), Elementary Education
Seton Hall University 1999 — 2002
Bachelor of Science in International Relations, Diplomacy & International Relations - Minor: Political Science & Spanish
The American University in Cairo (AUC) - The Arabic Language Institute (ALI) 2001 — 2001
Study Abroad (Summer) - Cairo, Egypt
Fairleigh Dickinson University 1997 — 1999
Transfered, International Studies
UBS Financial Services, Inc. January 2009 - Present
Midland Metals International June 2008 - January 2009
Education
Fairleigh Dickinson University 2006 — 2010
BS, Business Management
John Jay HS
UBS Financial Services, Inc. 2008 - Present
Wachovia, A Wells Fargo Company 2005 - 2008
Bank of America 2002 - 2005
Education
College for Financial Planning 2009 — 2010
Chartered Retirment Planning Counselor, Finance
Florida State University 2003 — 2004
Certificate In Financial Planning Program, Finance
Florida Gulf Coast University 1997 — 1999
Bachelor of Science, Finance
UBS Financial Services, Inc. August 2007 - Present
Education
Colgate University 1980 — 1983
Bachelor of Arts, International Relations & Economics
UBS Financial Services, Inc. April 2008 - Present
Smith Barney June 1999 - May 2008
Paine Webber August 1985 - May 1999
Keneth Leventhal & Co (now Ernst & Young) July 1984 - July 1985
Arthur Andersen January 1979 - July 1982
Education
University of California, Los Angeles 1982 — 1984
MBA, Finance
Central Connecticut State University 1973 — 1977
B.S., Business Administration, Accounting
UBS Financial Services, Inc. June 2014 - Present
UBS Financial Services, Inc. -- The Burish Group January 2012 - May 2014
Waddell & Reed May 2011 - January 2012
Education
Edgewood College 2010 — 2014
BS, Marketing
Edgewood College 2010 — 2014
Bachelor of Science (BS), Finance
UBS Financial Services, Inc. January 2009 - Present
Merrill Lynch & Co. August 1998 - January 2009
United States Marine Corps December 1976 - July 1998
NROTC Unit, S.U.N.Y. Maritime College and Fordham University 1989 - 1992
Education
College for Financial Planning
CRPC® Chartered Retirement Planning Counselor SM, Comprehensive Retirement Planning
Society of Professional Asset-Mangers & Record Keepers
Accredited Retirement Plan Consultant (ARPC), U.S. Defined Contribution Plans Overview Program
D'Amore-McKim School of Business at Northeastern University 1995 — 1998
MBA
Saint John's University 1971 — 1976
BS, Criminal Justice
CircleUp August 2014 - Present
Deliciously Dara 2013 - Present
UBS Financial Services, Inc. September 2013 - April 2014
JP Morgan July 2007 - September 2013
LLNS Healthcare Communications January 2006 - July 2007
Skills
Alternative Investments, Equities, Bloomberg, Financial Modeling, Account Management, Series 7, Fixed Income, Investments, Portfolio Management, Securities, Financial Analysis, Asset Allocation, Asset Management
Education
Emory University - Goizueta Business School 2001 — 2005
BBA, Finance and Marketing
Newark Academy
UBS Financial Services, Inc. July 2004 - Present
Oppenheimer & Co. 1993 - 2004
Education
City University of New York-Brooklyn College 1985 — 1989
Computers and Info Science, Economics
UBS Financial Services, Inc. November 2012 - Present
Khilnani Wealth Managment LLC October 2007 - November 2012
The New School September 2010 - December 2010
Education
Fordham Gabelli School of Business 2011 — 2012
MS, Global Finance
Eugene Lang College New School for Liberal Arts 2007 — 2011
B.A., Economics
Ft. Lauderdale General Employees Pension Board January 2014 - Present
The Second Half Team November 2012 - Present
Financial Industry Regulatory Authority January 1996 - December 2014
Wells Fargo Advisors, LLC November 2009 - November 2012
Ft. Lauderdale Police & Fire Pension Board May 2005 - March 2012
UBS Financial Services, Inc. December 1986 - October 2009
Oakland Park General Employees Pension Board January 1995 - December 1995
Barnett Bank August 1985 - September 1986
Skills
Investments, Retirement, Finance, Strategic Financial..., Public Speaking, Retirement Planning, Management, Government, Pensions, Mutual Funds, Policy, Risk Management, Asset Management, Wealth Management, Financial Services, Financial Analysis, Securities, Strategic Planning, Portfolio Management, Financial Advisory, Asset Allocation, Investment Advisory, Investment Strategies, Financial Planning, Alternative Investments, Estate Planning, Insurance, 401k, Hedge Funds, Employee Benefits, Investment Management, Equities, Series 7, Asset Managment, Series 63, Financial Planners, Fixed Annuities, Fixed Income, DROP, 457/Deferred Comp, Marketing, Customer Service, Pension Funds, Peace-of-mind
Education
Eckerd College 1981 — 1985
BA, Business
University of North Carolina at Chapel Hill 1982 — 1984
Business Administration and Management, General
Arch-Bishop Curley High School(now Miami Curley Notre Dame) 1977 — 1981
HIgh School Diploma
Miami Country Day School 1975 — 1978
Bolles School 1976 — 1977
8th Grade
UBS Financial Services, Inc. July 2001 - Present
Education
Eastern Michigan University 1969 — 1973
Bachelor of Business Administration (B.B.A.), Marketing
University of Michigan 1974 — 1974
UBS Financial Services, Inc. May 2010 - Present
Education
Wharton Business School 2003 — 2005
Certified Investment Management Analyst CIMA Designation, Accounting and Business/Management
Florida State University 1974 — 1978
Bachelor's in English & Business, Business Administration and Management, General
UBS Financial Services, Inc. August 2000 - Present
Morgan Stanley April 1998 - July 2001
Education
Davenport University 1991 — 1996
Eisenhower 1989 — 1991
Cardinal Mooney 1987 — 1989
Mariner Wealth Advisors & FirstPoint Financial September 2010 - Present
UBS Financial Services, Inc. June 2004 - September 2010
Ernst & Young 1999 - 2003
Education
Fairleigh Dickinson University 2005 — 2008
Masters in Taxation
State University of New York College at Oneonta 1994 — 1998
Business, Economics
UBS Financial Services, Inc. October 2007 - Present
RBC Wealth Management June 2005 - October 2007
Education
Colby College 1979 — 1981
English, English, Economics
Phillips Exeter Academy 1973 — 1976
UBS Financial Services, Inc. May 2002 - Present
Merrill Lynch January 1999 - May 2002
Universal Music Publishing Group 1997 - 1999
Education
College for Financial Planning 2009 — 2011
Certified Financial Planner designation, Financial Planning and Services, Certified
University of Phoenix 2008 — 2010
Bachelor's Degree, Global Business Management, 4.0
Musicians Institute 1988 — 1989
Certificate of completion, Jazz/funk/rock drumming, Afro-cuban rhythms., N/A: completion or not; I completed
UBS Financial Services, Inc. July 2009 - September 2011
PB Capital June 2007 - January 2009
Trainer Wortham 2003 - 2006
Landesbank Baden-Wuerttemberg 2000 - 2003
Moodys Investor Services 1996 - 2000
Bank of New York 1992 - 1995
Skills
Capital Markets, Structured Finance, Credit Analysis
Education
New York University - Leonard N. Stern School of Business 1993 — 1996
MBA, Finance
Colby College 1984 — 1988
B.A., Economics
University of Bath 1986 — 1986
Semester Abroad
Wells Fargo Advisors September 2014 - Present
UBS Financial Services, Inc. October 1998 - September 2014
Spear Financial 1990 - 1993
Harris Corporation September 1981 - October 1988
Education
Thunderbird School of Global Management 1980 — 1981
Masters, International Finance and Management
Florida State University 1974 — 1979
B.S. - Finance, International Finance and Management
UBS Financial Services, Inc. November 2008 - Present
NMSA Circle of the Arts 2014 - 2014
Santa Fe Community Foundation 2012 - 2013
Fine Arts for Children and Teens 2010 - 2011
Wachovia, A Wells Fargo Company May 2007 - November 2008
A.G. Edwards & Sons, Inc. December 2002 - May 2007
The Reel Life 1995 - 2002
Education
Duke University 1984 — 1988
BA, Psychology
Pine Crest School 1982 — 1984
Caribbean School 1973 — 1982
Club Deportivo
The University of Chicago Booth School of Business
The University of Chicago Booth School of Business
The University of Chicago Booth School of Business
The University of Chicago Booth School of Business
Kelley Drye & Warren LLP October 2014 - Present
Morgan, Lewis & Bockius LLP July 2013 - October 2014
Kroll Heineman Carton LLC September 2011 - June 2013
The Honorable Patricia Del Bueno Cleary J.S.C. September 2010 - September 2011
Juvenile Diabetes Research Foundation September 1999 - November 2010
The United States Army, Judge Advocate General Corps, Fort Bragg, NC June 2009 - August 2009
The Honorable Dennis Cavanaugh, United States, U.S.D.J. January 2009 - April 2009
The Honorable Tonianne Bongiovanni, U.S.M.J. July 2008 - September 2008
UBS Financial Services, Inc. August 2004 - July 2007
Education
Seton Hall University School of Law 2007 — 2010
J.D.
The American University in Cairo 2008 — 2008
Islamic and International Law
Fordham University 2003 — 2007
B.A. Cum Laude, History
Universitá Roma, "La Sapienza" 2006 — 2006
History and Italian Language
Christian Brothers Academy 1999 — 2003
UBS Financial Services, Inc. May 2006 - Present
UBS Financial Services, Inc. 2006 - Present
Morgan Stanley 1995 - 2006
Education
The American College 2003 — 2004
CFP, Certified Financial Planner
Florida State University - College of Business 1991 — 1995
Finance, Finance, Marketing, Management
UBS Financial Services, Inc. January 2004 - Present
Goldman Sachs & Co. 1997 - 2004
Education
Emory Law School
JD, with Honors
Emory University - Goizueta Business School
MBA, Finance
St. Paul's School
Prep School
Vanderbilt University
BA, English
Emerald Investment Partners December 2013 - Present
UBS Financial Services, Inc. 2006 - December 2013
Merrill Lynch 1999 - 2006
Leggett Stores 1985 - 1997
Mays & Valentine (Now Troutman & Saunders) 1982 - 1985
Education
University of Richmond
Doctor of Law (J.D.), McNeill Law Society
Emory University
Bachelor of Science (B.S.), Business Administration, Summa Cum Laude
UBS Financial Services, Inc. 2008 - Present
Smith Barney 1987 - 2008
Education
Columbia Union College
Bachelor of Business Administration (B.B.A.)
Georgetown University
Certificate of Financial Planning
Princeton Theological Seminary
Certificate in Theology and Ministry
UBS Financial Services, Inc. November 2010 - Present
Merrill Lynch May 2006 - November 2010
Merck March 2005 - May 2006
National Institute of Standards and Technology February 2003 - March 2005
Skills
Business Planning, Business Strategy, Finance, Retirement, Retirement Planning, Series 63, Strategic Financial..., Strategic Planning, Strategy, Asset Management, Financial Planning, Equities, Business Analysis, Public Speaking, Due Diligence
Education
College for Financial Planning
Chartered Retirement Planning Counselor, CERTIFIED FINANCIAL PLANNER™
University of Maryland College Park
University of Maryland University College
University of Pennsylvania - The Wharton School
Certified Investment Management Analyst
City National Bank July 2015 - Present
HSBC Private Bank April 2010 - July 2015
UBS Financial Services, Inc. July 1988 - March 2010
Skills
Wealth Management, Alternative Investments, Hedge Funds, Equities, Portfolio Management, Series 7, Fixed Income, Investments, Mutual Funds, Financial Services, Asset Management, Asset Allocation, Capital Markets, Relationship Management, Securities, Investment Advisory, Private Banking, Banking, Risk Management, Trust and Estate...
Education
New York University - Leonard N. Stern School of Business 1992 — 1994
MBA, Finance
Columbia University in the City of New York 1984 — 1988
B.S., Industrial Engineering
UBS Financial Services, Inc. June 2011 - Present
RBC Wealth Management September 1998 - June 2011
Ketel Thorstenson, LLP September 1995 - September 1998
AICPA 1995 - 1998
J. Noonan & Co. June 1990 - June 1995
Merrill Lynch September 1985 - October 1988
Baker Hughes June 1981 - June 1985
Education
Columbia University in the City of New York
ACPM Certified Portfolio Manager, Finance and Financial Management Services
The University of South Dakota
BS, Chemistry
Dakota State University
Accounting / Business
University of Massachusetts, Amherst
Math / Chemistry
Edelman Financial Services April 2015 - Present
UBS Financial Services, Inc. May 2011 - April 2015
Axiom Capital Management, Inc. October 2010 - May 2011
Greystone Asset Management, LLC June 2008 - May 2011
Education
City University of New York-Hunter College 2006 — 2008
BA, Economics
UBS Financial Services, Inc. 2009 - Present
Morgan Stanley 1989 - 2009
Skills
Investments, Series 7, Series 63, Retirement Planning, Asset Allocation, Mutual Funds, Alternative Investments, Investment Strategies, Asset Management, Portfolio Management, Wealth Management, Financial Analysis
Education
California State University-Northridge 1983 — 1985
BS, Real Estate & Finance
San Diego State University-California State University 1980 — 1983
Finance
UBS Financial Services, Inc. January 2012 - Present
Morgan Stanley Smith Barney July 1986 - January 2012
Education
Certified Investment Management Analyst (CIMA)
The Wharton School, University of Pennsylvania
Certified Financial Planner (CFP)
Florida Atlantic University
Bachelor, Business Administration
Eastchester St Patricks Day Parade 2004 - Present
UBS Financial Services, Inc. December 1996 - Present
Education
Pace University 1995 — 1997
Financial Planning
Fordham University 1984 — 1988
BA, Economics/History
Fordham Preparatory School 1980 — 1984
Wells Fargo Advisors January 2009 - Present
UBS Financial Services, Inc. January 1992 - January 2009
Morgan Stanley & Co. August 1988 - January 1992
Swiss Bank Corporation June 1987 - August 1987
Education
University of Pennsylvania - The Wharton School 1994 — 1994
IMCA Certified Investment Management Analyst Program, Investments and Securities
University of California, Berkeley, Haas School of Business 1986 — 1988
MBA, Finance
University of California, Santa Barbara 1980 — 1983
BA, Business-Economics
Foothill College 1978 — 1980
Science / Mathematics
UBS Financial Services, Inc. January 2009 - Present
Morgan Stanley Wealth Management October 1999 - December 2008
Education
Santa Clara University 1985 — 1988
MBA, Finance
City University of New York City College 1969 — 1973
Bachelor of Science (BS), Meteorology
UBS Financial Services, Inc. April 2014 - Present
Laidlaw & Company July 2013 - March 2014
Laidlaw & Company May 2012 - August 2012
Geometry Global June 2011 - August 2011
Education
Wesleyan University 2009 — 2013
Bachelor of Arts, Economics
Syosset High School 2005 — 2009
College for Financial Planning
AWMA®, Accredited Wealth Management Advisor SM
Great American Insurance Group - Annuities July 2015 - Present
Wells Fargo June 2014 - July 2015
Wells Fargo November 2012 - June 2014
UBS Financial Services, Inc. January 2009 - November 2012
Wells Fargo Advisors October 2006 - January 2009
Skills
Series 7, Retirement Planning, Wealth Management, Series 63, Fixed Annuities, Uniform Combined State..., Investments, Strategic Financial..., Mutual Funds, Retirement, Portfolio Management, Estate Planning, Loans, Finance, Asset Allocation, Certified Financial..., Disability Insurance, Life Insurance, Long Term Care Insurance, Securities, Wealth
Education
Florida State University - College of Business 2005 — 2006
MBA, Finance and Real Estate Development
Florida State University 2000 — 2004
BS, Finance and Real Estate Analysis
UBS Financial Services, Inc. September 1999 - Present
The SCA Group 1990 - 1996
DeWolf, Boberg & Associates 1988 - 1990
Universal Scheduling Company 1986 - 1988
Education
College for Financial Planning 2009 — 2009
Chartered Retirement Plans Counselor
Mercyhurst University 2001 — 2003
Advanced Certificate, Financial Planning Advanced Certificate
Edinboro University of Pennsylvania
Bachelor of Science, Business Economics
Edinboro University of Pennsylvania
Minor, Organizational Communications
Indiana University Bloomington
UBS Financial Services, Inc. August 2011 - Present
The Ayco Company, L.P. September 1993 - August 2011
Education
Clarkson University 1991 — 1993
Master of Business Administration (M.B.A.)
UBS Financial Services, Inc. May 2012 - Present
Merrill Lynch July 2008 - May 2012
Smith Barney Citigroup July 1991 - July 2008
Education
City University of New York
Bachelor's degree, Business Administration and Management, General
St. John's University
Datameer March 2015 - Present
Credit Suisse December 2012 - March 2015
Morgan Stanley October 2005 - December 2012
UBS Financial Services, Inc. November 2000 - October 2005
Xpedior June 2000 - September 2000
Skills
Strategic Planning, Strategic Planning..., Program Management, Cross-functional Team..., Strategic Technology..., Cost Reduction..., Operational Planning, Market Research, Vendor Management, Expense Management, Data Analysis, Management Presentations, Business Reporting, Software Development, Software Project..., Process Improvement, Business Analysis, Business Analytics, Operational Strategy, Operational Efficiency, Cross-functional..., Product Management, Product Development, IT Management, Outsourcing, Governance, Project Portfolio..., IT Strategy, Business Process..., Management, SDLC, Integration, SaaS, Start-ups, Business Intelligence, Agile Methodologies, Analysis, Requirements Analysis
Education
New York University - Leonard N. Stern School of Business 2007 — 2009
MBA, Strategy, Corporate Finance, Entrepreneurship and Innovation
Cornell University 1995 — 1999
B.S., Materials Science and Engineering
Microsoft September 2013 - Present
CBS Corporation August 2011 - August 2013
CA Technologies October 2008 - July 2011
Cigital May 2008 - October 2008
UBS Financial Services, Inc. June 2005 - May 2008
Computer Associates June 2002 - June 2005
Cornell University January 2001 - December 2001
Skills
Enterprise Architecture, Information Security, Cloud Computing, Security, Enterprise Software, Software Development, Computer Security, Application Security, SaaS, Information Technology, Java, IT Strategy, Cryptography, Python, Security Architecture..., Web Services, Agile Methodologies, SDLC, ITIL, Solution Architecture, Identity Management, Mobile Applications, .NET, Business Continuity, SOA, HTML 5, Social Media, Software Engineering, Enterprise Mobility, Mobile Platforms, iOS development, Static Analysis, SDL
Education
Cornell University 2001 — 2001
M.Eng, Computer Science
Hofstra University 1997 — 2000
B.S., Computer Science & Mathematics
St. Anthony's High School 1993 — 1997
NYS Regents, High School
Wells Fargo Advisors September 2013 - Present
UBS Financial Services, Inc. November 2008 - September 2013
Smith Barney May 2001 - November 2008
Skills
Investments, Investment Strategies, Finance, Financial Advisory, Management, Alternative Investments, Asset Allocation, Equities, Financial Analysis, Fixed Income, Hedge Funds, Liquidity Events, Liquidity Solutions, Exit Strategies, Investment Management
Education
George Mason University 1989 — 1992
BA, Economics
Christopher Newport University 1987 — 1989
BA, Economics
UBS Financial Services, Inc. September 2003 - Present
Education
Robert Morris University 2005 — 2007
Master of Business Administration (MBA), Business Administration and Management, General
Duquesne University 1998 — 2002
Bachelor of Science (BS), International Business
Edward Jones October 2014 - Present
UBS Financial Services, Inc. March 2006 - October 2014
Education
College of Southern Maryland 1999 — 2001
Citizen Schools Texas September 2009 - April 2015
The Immunization Partnership 2006 - June 2010
Education Foundation of Harris County August 2007 - April 2010
City of Houston Tower Commission 2005 - 2010
Texas Lyceum Association 2005 - 2010
UBS Financial Services, Inc. November 2004 - August 2009
Texas Lyceum 2007 - 2008
Small Steps Nurturing Center 2002 - 2008
Preschool for ALL 2002 - 2005
Skills
Leadership, Public Policy, Public Speaking, Strategic Planning, Program Development, Policy, Nonprofits, Fundraising, Teacher Training, Staff Development, Grant Writing, Social Media, Public Relations, Volunteer Management, Strategic Communications, Higher Education, Community Outreach, Leadership Development, Strategic Partnerships, Research, Event Planning, Team Building, Non-profits, Program Evaluation, Curriculum Design, Program Management, Community Development
Education
Jones Graduate School of Business, Rice University 1999 — 2001
MBA, Finance
The University of Texas School of Law 1992 — 1995
J.D., Law
Duke University 1988 — 1992
A.B., English
The Kinkaid School 1984 — 1988
High School
MedVet Medical & Cancer Centers for Pets August 2014 - Present
Hollywood Animal Hospital June 2013 - July 2014
Capital Veterinary Referral & Emergency Center February 2010 - December 2012
UBS Financial Services, Inc. July 2006 - March 2008
Skills
Microsoft Excel
Education
The Ohio State University 2009 — 2013
DVM, Veterinary Medicine
Denison University 2002 — 2006
Bachelor of Arts (B.A.), Communications
UBS Financial Services, Inc. November 2008 - Present
Morgan Stanley March 2003 - November 2008
Education
Colgate University 1994 — 1998
BA, Economics
Summit High School 1990 — 1994
UBS Financial Services, Inc. February 2010 - Present
UBS International May 2005 - February 2010
Skills
Wealth Management, Series 7, Strategy, Asset Allocation, Mutual Funds, Alternative Investments, Asset Management, Investment Advisory, Investment Strategies, Strategic Financial..., Fixed Income, Bloomberg, Investments, Securities, series 3, series 66, CAIA, CMT, Technical Analysis
Education
University of Florida 2009 — 2010
MBA, Business
University of Florida - Warrington College of Business Administration 2009 — 2010
MBA, Business
Florida International University 2002 — 2006
Bachelor, Finance
BG Products Inc. March 2008 - Present
Mid Continent Cabinetry April 2007 - March 2008
American General Finance/Springleaf Financial Services April 2005 - March 2007
UBS Financial Services, Inc. June 2003 - April 2005
Skills
MAS500, Crystal Reports, Microsoft FRx, Microsoft Excel, Microsoft Access, AS400, Strategic Planning, Capital Budgeting, Capacity Planning, Forecasting, Linear Programming, Monte Carlo Simulation, Operating Budgets, Financial Budgets, Process Costing, Job Order Costing, Activity Based Costing, Balanced Scorecard, Variance Analysis, Weighted Average Cost..., Managing Current Assets, Managing Investments, Breakeven Analysis, Pricing, Expected Value Analysis, SQL, Process Utilization, Labor Utilization, Investments, Asset, Analysis, Budgets, Finance, Management, Continuous Improvement, Cash Flow, Cost Accounting, Accounting, Process Improvement, Access
Education
Emporia State University 2014 — 2015
Master of Business Administration (MBA)
Wichita State University 2013 — 2013
Master of Business Administration (MBA), Entrepreneurship & Innovation
Wichita State University 1997 — 2000
BBA, Finance
UBS Financial Services, Inc. January 2009 - Present
Morgan Stanley September 2000 - January 2009
Morgan Stanley July 1991 - September 2000
Skills
Wealth Management, Portfolio Management, Retirement Planning, Wealth, Investments, Estate Planning, Series 7, Asset Allocation, Financial Modeling, Retirement
Education
California State University-Sacramento 1991 — 1995
BS, Business Administration - Finance
University of California, Davis
Certified Financial Planner Program
Wharton School, University of Pennsylvania
IMCA Certified Investment Management Analyst Program
Can Do Fitness In Partnership with Meridian Health & Fitness October 2007 - Present
UBS Financial Services, Inc. October 2006 - June 2010
WCI Communities, Inc. March 2006 - October 2006
Riverfront Realty January 2006 - October 2006
Risk Management Consultant June 2005 - January 2006
Bank of America January 2000 - June 2005
Qualico Management, LLC July 1998 - December 1999
Weill Cornell Medical College January 1991 - June 1998
HSBC Global Banking and Markets October 1988 - June 1990
Marine Midland Bank, N.A. September 1985 - October 1988
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, PowerPoint, Project Management, Social Media Marketing, Public Speaking, Marketing, Budgets, Social Media, Management, Leadership, Online Advertising, Coaching, Team Building, New Business Development, Customer Service, Outlook, Account Management, Financial Services, Research, Business Strategy, Editing, Email Marketing, Illustrator, Avid Media Composer 6.5, Photoshop CS5, Illustrator CS5, InDesign CS5, After Effects CS5, Final Cut Pro 7, Logic Pro 9, MixMeister Express 7, Visual C#, VBA, T-SQL Stored Procedures, ISSA Certified Fitness..., Yoga Alliance Certified..., Reiki Master
Education
Columbia University in the City of New York 1990 — 1991
(P.B.A) Post Baccalaureate in Pre-Medical Studies, Pre-Medicine/Pre-Medical Studies
Cornell University
Bachelor of Art & Sciences, A.B., Romance Languages & Classical Studies
UBS Financial Services, Inc. June 2014 - Present
Fidelity Investments January 2012 - May 2014
Learning Systems Institute January 2008 - June 2010
Seminole ISP Sports Network August 2009 - May 2010
Education
Florida State University - College of Business 2007 — 2011
Bachelor's Degree, Finance, Marketing
Wells Fargo Advisors, LLC November 2012 - Present
UBS Financial Services, Inc. October 2008 - November 2012
A.G. Edwards & Sons, Inc. March 1997 - October 2008
Education
DePaul University 1989 — 1992
UBS Financial Services, Inc March 2013 - Present
UBS Financial Services, Inc. May 2008 - March 2013
Education
Covenant College 1996 — 2000
Babson Capital Management 2012 - Present
Babson Capital Management June 2009 - December 2012
UBS Investment Bank August 2007 - June 2009
UBS Financial Services, Inc. July 2005 - July 2007
BlackRock June 2004 - September 2004
Skills
Hedge Funds, Fixed Income, Asset Management, Alternative Investments, Equities, Bloomberg, Financial Modeling
Education
Columbia University in the City of New York
Bachelors of Science
The Lawrenceville School
UBS Financial Services, Inc. September 2004 - Present
Credit Suisse First Boston September 1995 - September 2004
Education
Fordham Gabelli School of Business 1990 — 1994
MBA, Finance
Saint Francis University of Pennsylvania 1980 — 1984
BS, Business Management/Accounting
UBS September 1990 - Present
UBS Wealth Management 1990 - Present
UBS Financial Services, Inc. 1990 - Present
Education
Fairleigh Dickinson University 1995 — 1997
MBA
UBS Financial Services, Inc. May 2011 - Present
The Ayco Company, L.P. November 2000 - May 2011
Education
Chapman University, School of Law 1998 — 2000
Chapman University, The George L. Argyros School of Business and Economics
UBS Financial Services, Inc. August 2015 - Present
Munder Capital Management March 1998 - February 2015
Skills
Equities, Investments, Equity Research, Financial Modeling
Education
DePaul University
US Bank September 2009 - Present
UBS Financial Services, Inc. July 2008 - August 2009
Skills
Series 63, Series 7, Investments, Customer Service, Institutional...
Education
California State University-Northridge 2000 — 2006
Oak Ridge Investments September 2014 - Present
Goldman Sachs April 2009 - September 2014
UBS Financial Services, Inc. 2004 - 2009
Merrill Lynch November 2001 - October 2004
Merrill Lynch 1997 - 2001
Skills
Retirement Planning, Retirement, Fixed Annuities, Asset Allocation, Investments, Wealth Management, Asset Management, Mutual Funds, Alternative Investments, Investment Advisory, Portfolio Management, Equities, Defined Benefit Asset..., Defined Contribution..., Variable Annuities
Education
San Jose State University 1990 — 1994
Bachelor of Science (B.S.), Public Relations/Image Management
College for Financial Planning
Master of Science (MS), Financial Planning
Keller Williams Realty, Inc. July 2015 - Present
UBS Financial Services, Inc. December 2011 - April 2015
Morgan Stanley Smith Barney August 2007 - December 2011
Education
Fairleigh Dickinson University 2002 — 2004
MBA, Management
Siena College 1993 — 1997
BS, Finance
UBS Financial Services, Inc. November 2008 - Present
Morgan Stanley November 1988 - November 2008
Education
California State University-Northridge
UBS Financial Services, Inc. April 1983 - Present
Education
Ohio University 1967 — 1969
MBA
Denison University 1962 — 1967
BA, Economics
ADP May 2014 - Present
UBS Financial Services, Inc. May 2011 - November 2013
Prudential Financial November 2007 - January 2010
Prudential Financial July 1990 - September 2006
Skills
401k
Education
Rutgers, The State University of New Jersey-New Brunswick 1988 — 1990
BA, Economics
Drew University 1986 — 1988
Willingboro High School
UBS Financial Services, Inc. June 2002 - Present
Fleet Trading 2000 - 2002
ANZ Banking Group 1992 - 1999
Education
New York University - Leonard N. Stern School of Business 1997 — 1998
Executive MBA, Accounting and Finance
University of Durham 1990 — 1991
Master's degree, Western European Political and Economic Integration
Washington University in St. Louis 1986 — 1990
Bachelor of Arts (B.A.) in Psychology, Economics, Business Administration
Daniel A. Costigan, PC September 2012 - Present
UBS Financial Services, Inc. April 2005 - September 2012
Bank of Nova Scotia 1997 - 2004
Skills
General Litigation..., Trial Preparation and..., Small Business Law, Family Law, Equities, Financial Modeling, Fixed Income, Asset Managment, Portfolio Management, Finance, Investments, Valuation
Education
Columbia University - Columbia Business School 1995 — 1997
MBA, Finance
University of Virginia School of Law 1985 — 1988
JD, Law
University of Virginia 1981 — 1985
BA, Government
RDL Wealth Management LLC May 2015 - Present
UBS Financial Services, Inc. September 2005 - May 2015
RBC Wealth Management January 2002 - September 2005
Tucker Anthony 1999 - 2001
Education
Columbia University in the City of New York 1989 — 1993
BA, Sociology
Miss Porter's School 1985 — 1989
UBS Financial Services, Inc. February 2007 - Present
Education
Denison University 1980 — 1984
B.A., Economics
BA ECONOMICS
Wells Fargo Advisors August 2014 - Present
UBS Financial Services, Inc. 2012 - August 2014
Edward Jones 2009 - 2012
Education
College for Financial Planning 2013 — 2016
Certified Financial Planner, Financial Planning
University of Colorado at Boulder
BA, Economics
UBS Financial Services, Inc. 2012 - Present
Deutsche Bank Alex. Brown 2010 - 2012
Multiple Organics 2009 - 2010
BlackRock 2002 - 2008
Deutsche Bank 2000 - 2002
Education
Fairfield University 1996 — 2000
Bachelor of Science (BS), Charles F. Dolan School of Business
Universita di Lorenzo de Medici 1998 — 1999
International Marketing, Art History
UBS Financial Services, Inc. April 1996 - March 2010
Deloitte 1974 - 1980
Education
Eastern Michigan University 1968 — 1972
BBA, Political Science
Our Lady of Sorrows 1964 — 1968
UBS Financial Services, Inc. 1996 - Present
Education
Fordham University - Graduate School of Business Administration 2010 — 2012
Master of Business Administration (MBA)
J.P. Morgan March 2015 - Present
J.P. Morgan February 2014 - March 2015
J.P. Morgan June 2013 - January 2014
JPMorgan Chase June 2011 - May 2013
JPMorgan Chase June 2010 - June 2011
UBS Financial Services, Inc. November 2009 - January 2010
Chicago Mercantile Exchange June 2008 - July 2008
Skills
Excel, Hyperion Essbase, Costing Analysis, PowerPoint, Financial Analysis, Financial Reporting, Word, Outlook, SAP, Microsoft Excel, Microsoft Word, Essbase, Asset Management, Financial Modeling, Management
Education
DePaul University 2007 — 2011
B.S. in Finance, Finance Honors, Accounting
UBS Wealth Management June 2015 - Present
UBS May 2013 - Present
UBS Financial Services, Inc. April 2012 - April 2013
UBS Financial Services, Inc. November 2009 - April 2012
UBS Financial Services, Inc. September 2008 - November 2009
UBS Financial Services, Inc. October 2006 - September 2008
UBS Financial Services, Inc. 2005 - 2006
Boston Ballet School 2004 - 2005
Boston Ballet 2003 - 2004
Boston Ballet 2002 - 2003
Education
College of the Holy Cross 1998 — 2002
B.A., Theatre, Economics, Deaf Studies
UBS Financial Services, Inc. 2008 - Present
JPMorgan Chase 2001 - 2008
Skills
HR Strategy, Performance Management, Organizational..., Succession Planning, Employee Relations, Compensation, Change Management, Compensation Planning, Management, Leadership Development, Personnel Management
Education
Fordham University
Bachelor of Science (BS), Political Science
Fordham University School of Law
Juris Doctor
Robert W. Baird & Co. October 2013 - Present
Robert W. Baird & Co. January 2011 - October 2013
UBS Financial Services, Inc. September 2005 - January 2011
Piper Jaffray & Co December 2003 - September 2005
Strong Capital Management, Inc May 2000 - May 2003
Skills
Strategic Planning, Strategy, Financial Reporting, Recruiting, Investments
Education
Cardinal Stritch University 2009 — 2011
Master of Science in Management, Business
University of Wisconsin-Milwaukee 1999 — 2003
BBA, Finance
UBS Financial Services, Inc. September 2008 - Present
UBS Financial Services, Inc. 2008 - Present
Education
Davidson College 1974 — 1978
BA, Economics
Private June 2005 - Present
Petit Teton Foundation January 2011 - Present
Petit Teton, LLC. September 2008 - Present
Bay Area Financial Education Foundation (BAFEF) January 2015 - Present
UBS Financial Services, Inc. June 2003 - June 2005
Skills
Portfolio Management, Investments, Equities, Trading, Risk, Fixed Income, Wealth Management, Derivatives, Asset Management, Analysis, Research, Hedge Funds, Financial Risk, Series 63, Valuation, Alternative Investments, Asset Allocation, Investment Advisory
Education
California State University-Sacramento 1996 — 2002
Undergrad, Japanese, Asian Studies
UBS Financial Services, Inc. PresidentEMFM, INC1993 - 2001
Education
City University of New York-Brooklyn College 1972 — 1976
bs accounting, Finance
UBS Financial Services, Inc. November 2008 - Present
Wachovia, A Wells Fargo Company September 2000 - November 2008
Merrill Lynch April 1996 - February 2000
Skills
Asset Allocation, Equities, Fixed Income, Investment Advisory, Mutual Funds, Portfolio Management, Retirement Planning, Series 7, Wealth Management
Education
DePaul University
Masters, Business Administration
Illinois Institute of Technology
Bachelor of Science, Electrical Engineering
UBS Financial Services, Inc. March 2014 - Present
UBS Financial Services, Inc. October 2012 - March 2014
UBS Financial Services, Inc. March 2012 - October 2012
UBS Financial Services, Inc. May 2011 - March 2012
Eagle Publishing, Inc. June 2009 - May 2011
Education
Davidson College
UBS Financial Services, Inc. September 2013 - Present
UBS Financial Services, Inc. July 2009 - September 2013
UBS Financial Services, Inc. April 2008 - July 2009
Merrill Lynch March 2001 - April 2008
Morgan Stanley Dean Witter November 1998 - March 2001
Education
Clemson University - College of Business and Behavioral Science 1989 — 1993
BS, Marketing
City Year July 2012 - Present
City Year June 2011 - July 2012
City Year August 2010 - June 2011
UBS Financial Services, Inc. May 2009 - August 2010
Skills
Financial Analysis, Team Management, Team Leadership, Budget Management, Budget Analysis, Client Relationship..., Project Facilitation, Strategic Planning, Event Planning, Event Management, Lead Generation, Budgets, Management
Education
Fordham Gabelli School of Business 2015 — 2018
Master of Business Administration (M.B.A.), Duel Concentration: Finance and Information Systems
University of Delaware 2004 — 2009
B.S., Major: Political Science/Minor: English
UBS Financial Services, Inc. July 2015 - Present
UBS Financial Services, Inc. May 2007 - July 2015
Smith and Condeni LLP April 1997 - May 2007
Gallagher Sharp Fulton & Norman October 1993 - April 1997
Skills
Wealth Management, Trusts, Wealth, High Net Worth..., Financial Planning, Financial Advisory, Estate Tax Planning, Retirement Planning, Succession Planning, Retirement, Strategic Financial..., Asset Allocation, Wealth Transfer, Asset Protection, Wealth Management..., Financial Planners, Fixed Annuities, Investment Strategies, Wealth Transfer Planning, Trust Services, Estate Law, Long-term Care, Inheritance Tax Planning, Multi-generational..., Intergenerational...
Education
Cleveland State University - Cleveland-Marshall College of Law 1990 — 1993
Juris Doctorate, cum laude, Law
Cornell University 1978 — 1980
Bachelor of Science, Business
UBS Financial Services, Inc. November 2008 - Present
Education
California State University-Sacramento 1984 — 1989
B.S., Finance, Economics Minor
UBS Financial Services, Inc. April 2009 - Present
Smith Barney 1993 - 2009
Kidder Peabody 1988 - 1993
Drexel Burnham Lambert 1983 - 1988
Skills
Equities, Financial Analysis, Fixed Income, Investments, Mutual Funds, Strategic Planning, Wealth Management
Education
Drew University 1975 — 1979
B.A., Political Science & History
Kingswood-Oxford School 1971 — 1975
Private Law Practice February 2014 - Present
Rose Consumer Law, APC November 2011 - November 2013
LAW OFFICE OF ROBERT M November 2010 - September 2011
UBS Financial Services, Inc. March 2006 - March 2007
Principato-Young Entertainment, Inc. 2007 - 2007
Skills
Bankruptcy, Civil Litigation, Fluent in English and..., Solid state and federal..., Strong knowledge of CM..., Strong knowledge...
Education
Thomas Jefferson School of Law 2014 — 2017
Juris Doctor (J.D.)
University of California, San Diego Extension
ABA, Approved Paralegal
California State University-Northridge 2004 — 2009
B.A., Cinema Television Arts
UBS Financial Services, Inc. January 2009 - Present
Merrill Lynch November 2001 - December 2008
Morgan Stanley October 1995 - October 2001
Education
Franciscan University of Steubenville 1971 — 1974
BS, Medical Technology
St John Central
Fidelity Investments May 2015 - Present
Santander Investment Services April 2014 - April 2015
Citizens Investment Services December 2012 - April 2014
UBS Financial Services, Inc. September 1999 - November 2012
Fleet Bank August 1998 - August 1999
Scudder Investments January 1997 - August 1998
American Express Financial Advisors January 1996 - January 1997
Lord & Taylor September 1993 - January 1996
Thomas James Associates June 1993 - August 1993
Skills
Series 7, Wealth Management, Retirement Planning, Asset Allocation, Series 63, Mutual Funds, Investment Advisory, 401k, Alternative Investments, Series 65, Asset Management, Retirement, Separately Managed..., Wealth Management..., Financial Advisory, ETFs, Fixed Income, Portfolio Management, Strategic Financial..., Personal Financial..., 401k Rollovers, Investment Strategies, Investments, Investment Management
Education
Franklin Pierce University 1988 — 1993
BS, Business Management
UBS Financial Services, Inc. August 1988 - Present
Wheat, First Securities, Inc. November 1980 - August 1988
Nordell Group March 1979 - October 1980
St. Joe Minerals Corp. April 1977 - May 1979
U.S. House of Representatives January 1976 - March 1977
Education
City University of New York-Brooklyn College
BA, Political Science
Goddard College
MA, Political History
UBS Financial Services, Inc. May 2009 - Present
Morgan Stanley Smith Barney March 2007 - May 2009
Education
College for Financial Planning
CRPS, Retirement Plan
University of Dayton
Finance, General
Wright State University
Finance, General
UBS Financial Services, Inc. October 2006 - Present
Skills
Series 7
Education
Drake University 1986 — 1990
BA, English
UBS Financial Services, Inc. August 2006 - Present
Education
Emory University - Goizueta Business School
MBA, Finance & Marketing
University of Arizona
BSBA, Finance
Brophy Prep
College Preparatory
UBS Financial Services, Inc. February 2010 - April 2010
Skills
Equity Valuation, Communication Skills, Research, Foreign Languages, Fixed Income, Corporate Finance, Alternative Investments, Financial Reporting, Teamwork, Organization &..., Outlook, Microsoft Office
Education
California State University-Northridge 2007 — 2010
BSc., Finance
UBS Financial Services, Inc. April 2004 - Present
Education
CSU Sacramento 1986 — 1990
Bachelor of Science (B.S.), Business Administration, Finance
UBS Financial Services, Inc. January 2010 - Present
Summit Trading February 2008 - October 2009
BEAR STEARNS ASSET MANAGEMENT October 2005 - December 2007
GERARD, KLAUER, MATTISON January 2000 - June 2003
SAGA CAPITAL April 1993 - January 2000
VS HOVNANIAN GROUP - ADELPHIA COMPANY February 1991 - April 1993
VS HOVNANIAN GROUP - Riverside S&L July 1985 - February 1991
Education
Columbia University - School of International and Public Affairs 1983 — 1985
Masters
Academie Charpentier 1981 — 1982
Rutgers College 1977 — 1981
BA
UBS Financial Services, Inc February 2013 - Present
UBS Financial Services, Inc. September 2011 - February 2013
Skills
Securities
Education
Cleveland State University 2007 — 2010
Bachelor of Science (B.S.), Psychology
Gannon University
UBS Financial Services, Inc. 1981 - Present
Education
McGill University 1972 — 1979
M.A., Islamic Studies
Dartmouth College 1966 — 1970
BA, History
UBS Financial Services, Inc. February 2007 - Present
Merrill Lynch October 1997 - February 2007
Education
Vanderbilt University School of Law 1988 — 1991
Doctor of Law (J.D.)
Duke University 1983 — 1987
B.A. Public Policy Studies
UBS Financial Services, Inc. 1966 - Present
UBS Financial Services Inc 1966 - Present
GE International 1966 - 1982
Skills
Fixed Income, Equities, Series 7, Wealth Management, Investments
Education
University of Wisconsin-Madison 1963 — 1965
Master's degree, Journalism
Delhi University 1961 — 1963
Master's degree, English
UBS Financial Services, Inc. August 2015 - Present
Education
Fairfield University 2009 — 2014
Bachelor's degree, Business Administration and Management, General
Chaminade High School 2005 — 2009