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
Employee
Years
Job
Industry
Ricardo Javier Rodriguez Leon Ricardo Javier Rodriguez Leon's UBS Financial Services, Inc Experience November 2011 - June 2012
Job Business Consultant/Project Manager/Entrepreneur/Business Development/Sales & Marketing Executive
Industry Management Consulting
Experience
Master Music Productions Corp. July 2012 - Present
Ballori & Farre also dba Premium Tire & Parts July 2012 - Present
Xaas Partners, LLC May 2014 - June 2015
Xaas Partners, LLC August 2013 - May 2014
AJP, LLC - Tax Advisors & Business Consultants July 2012 - December 2012
UBS Financial Services Inc. November 2011 - June 2012
C-Com Group, Inc. October 2010 - July 2011
Puerto Rico Tourism Company July 2008 - July 2011
C-Com Group, Inc. November 2008 - June 2009
Skills
Advertising, Online Advertising, SEM, Spanish, Marketing Strategy, Public Relations, Strategic Planning, Sales Management, Social Media, Negotiation, Product Development, Media Relations, Budgeting, Customer Relations, English, Writing, PowerPoint, Excel, New Business Development, Customer Service, Word, Account Management, Online Marketing, Market Research, E-commerce, Strategy Development, Event Planning, Digital Media, Event Management, Business Strategy, Sponsorship, Forecasting, Crisis Management, Contract Negotiation, Integrated Marketing, Promotions, Financial Analysis, Italian, Budgets, Microsoft Excel, Strategy, Social Media Marketing, Finance, Entrepreneurship, Business Planning, Leadership, Marketing Communications, Marketing, Sales, Management
Education
Florida International University - College of Business Administration 2010 — 2011
Masters in Business Administration
Columbia University in the City of New York 1999 — 2002
Bachelor of Arts (BA), Economics
St. John's School
St. John's School
St. John's School
Master Music Productions Corp. July 2012 - Present
Ballori & Farre also dba Premium Tire & Parts July 2012 - Present
Xaas Partners, LLC May 2014 - June 2015
Xaas Partners, LLC August 2013 - May 2014
AJP, LLC - Tax Advisors & Business Consultants July 2012 - December 2012
UBS Financial Services Inc. November 2011 - June 2012
C-Com Group, Inc. October 2010 - July 2011
Puerto Rico Tourism Company July 2008 - July 2011
C-Com Group, Inc. November 2008 - June 2009
Skills
Advertising, Online Advertising, SEM, Spanish, Marketing Strategy, Public Relations, Strategic Planning, Sales Management, Social Media, Negotiation, Product Development, Media Relations, Budgeting, Customer Relations, English, Writing, PowerPoint, Excel, New Business Development, Customer Service, Word, Account Management, Online Marketing, Market Research, E-commerce, Strategy Development, Event Planning, Digital Media, Event Management, Business Strategy, Sponsorship, Forecasting, Crisis Management, Contract Negotiation, Integrated Marketing, Promotions, Financial Analysis, Italian, Budgets, Microsoft Excel, Strategy, Social Media Marketing, Finance, Entrepreneurship, Business Planning, Leadership, Marketing Communications, Marketing, Sales, Management
Education
Florida International University - College of Business Administration 2010 — 2011
Masters in Business Administration
Columbia University in the City of New York 1999 — 2002
Bachelor of Arts (BA), Economics
St. John's School
St. John's School
St. John's School
Ross C. Hamilton, CFP® Ross C. Hamilton, CFP®'s UBS Financial Services, Inc Experience January 2013 - Present
Job Financial Advisor at UBS Financial Services, Inc
Industry Investment Management
Experience
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 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
ELAN SANKER ELAN SANKER's UBS Financial Services, Inc Experience July 2013 - November 2014
Job Financial Advisor at Edward Jones
Industry Financial Services
Experience
Edward Jones November 2014 - Present
UBS Financial Services Inc. July 2013 - November 2014
Merrill Lynch June 2010 - July 2013
AXA June 2008 - May 2010
MONEY MANAGEMENT INSTITUTE January 2005 - May 2008
Skills
Series 7, Finance, Investments, Mutual Funds, Wealth Management, Portfolio Management, Financial Services, Asset Allocation, Retirement Planning, Equities, Securities, Financial Advisory, Financial Planning, Financial Analysis, Asset Management, Investment Advisory, Fixed Income, Investment Strategies, Risk Management, Retirement, Banking, Uniform Combined State..., Microsoft Office, FINRA, Fixed Annuities, Leadership, Bonds, Relationship Management, Insurance, 401k, Customer Service, Estate Planning, Credit, ETFs, Trading, Investment Management, Life Insurance, Management, Financial Markets, Wealth Management..., IRAs, Strategic Planning, Wealth, Employee Benefits
Education
Drexel University 2006 — 2007
Master's degree, Elementary Education and Teaching
Temple University 2004 — 2005
Bachelor of Arts (B.A.), Political Science and Government
Edward Jones November 2014 - Present
UBS Financial Services Inc. July 2013 - November 2014
Merrill Lynch June 2010 - July 2013
AXA June 2008 - May 2010
MONEY MANAGEMENT INSTITUTE January 2005 - May 2008
Skills
Series 7, Finance, Investments, Mutual Funds, Wealth Management, Portfolio Management, Financial Services, Asset Allocation, Retirement Planning, Equities, Securities, Financial Advisory, Financial Planning, Financial Analysis, Asset Management, Investment Advisory, Fixed Income, Investment Strategies, Risk Management, Retirement, Banking, Uniform Combined State..., Microsoft Office, FINRA, Fixed Annuities, Leadership, Bonds, Relationship Management, Insurance, 401k, Customer Service, Estate Planning, Credit, ETFs, Trading, Investment Management, Life Insurance, Management, Financial Markets, Wealth Management..., IRAs, Strategic Planning, Wealth, Employee Benefits
Education
Drexel University 2006 — 2007
Master's degree, Elementary Education and Teaching
Temple University 2004 — 2005
Bachelor of Arts (B.A.), Political Science and Government
George Herger George Herger's UBS Financial Services, Inc Experience April 2014 - August 2015
Job Client Service Specialist at TRAFiX LLC
Industry Financial Services
Experience
TRAFiX LLC September 2015 - Present
UBS Financial Services Inc. April 2014 - August 2015
MIXIT USA December 2011 - April 2014
Education
College for Financial Planning 2014 — 2014
AWMA®, Accredited Wealth Management Advisor SM
College of Business Administration 2007 — 2011
Bachelors of Science
Fordham University 2007 — 2011
BS
Chaminade
TRAFiX LLC September 2015 - Present
UBS Financial Services Inc. April 2014 - August 2015
MIXIT USA December 2011 - April 2014
Education
College for Financial Planning 2014 — 2014
AWMA®, Accredited Wealth Management Advisor SM
College of Business Administration 2007 — 2011
Bachelors of Science
Fordham University 2007 — 2011
BS
Chaminade
Montague Boyd, CFP's UBS Financial Services, Inc Experience January 2009 - June 2014
Job Treasurer at Center for the Visually Impaired
Industry Financial Services
Experience
Stephens Co. June 2014 - Present
Sewanee: The University of the South October 2014 - Present
Center for the Visually Impaired Inc. July 2014 - Present
The Atlanta Opera 2008 - Present
Center for the Visually Impaired, Inc. July 2007 - Present
Oxford Center for Entrepreneurs 2007 - Present
UBS Financial Services Inc January 2009 - June 2014
The Robinson Humphrey Company, Inc July 1977 - January 2009
The Sewanee Fire Department June 1973 - June 1974
Skills
Investments, Retirement Planning, Financial Advisory, Leadership, FINRA, Real Estate, Advertising, Wealth Management, Series 7, Asset Allocation, Alternative Investments, Strategic Financial..., Mutual Funds, Asset Management, Series 63, Investment Advisory, Portfolio Management, Securities, Estate Planning, Investment Strategies, Hedge Funds, Wealth Management..., Investment Management, Retirement, Fixed Income, Equities, Capital Markets, Finance, Public Speaking, Insurance, Financial Planners, IRAs, 401k
Education
Strategic Coach 2008 — 2021
Master; Strategic Coach
Genius Network 2014 — 2021
Genius member of 25k Club, Marketing
Ed Slott IRA advisor; elite 2012 — 2015
Master Elite, IRA
College for Financial Planning 1981 — 1984
CFP, Financial Planning
Sewanee-The University of the South 1970 — 1974
BA, English
State of Tennessee Fireman Training 1973 — 1974
Chief of Volunteer Fire Department; Sewanee, Engineer, Chief
The Lovett School 1962 — 1970
Private High School Diploma, College/University Preparatory and Advanced High School/Secondary Diploma Program
Stephens Co. June 2014 - Present
Sewanee: The University of the South October 2014 - Present
Center for the Visually Impaired Inc. July 2014 - Present
The Atlanta Opera 2008 - Present
Center for the Visually Impaired, Inc. July 2007 - Present
Oxford Center for Entrepreneurs 2007 - Present
UBS Financial Services Inc January 2009 - June 2014
The Robinson Humphrey Company, Inc July 1977 - January 2009
The Sewanee Fire Department June 1973 - June 1974
Skills
Investments, Retirement Planning, Financial Advisory, Leadership, FINRA, Real Estate, Advertising, Wealth Management, Series 7, Asset Allocation, Alternative Investments, Strategic Financial..., Mutual Funds, Asset Management, Series 63, Investment Advisory, Portfolio Management, Securities, Estate Planning, Investment Strategies, Hedge Funds, Wealth Management..., Investment Management, Retirement, Fixed Income, Equities, Capital Markets, Finance, Public Speaking, Insurance, Financial Planners, IRAs, 401k
Education
Strategic Coach 2008 — 2021
Master; Strategic Coach
Genius Network 2014 — 2021
Genius member of 25k Club, Marketing
Ed Slott IRA advisor; elite 2012 — 2015
Master Elite, IRA
College for Financial Planning 1981 — 1984
CFP, Financial Planning
Sewanee-The University of the South 1970 — 1974
BA, English
State of Tennessee Fireman Training 1973 — 1974
Chief of Volunteer Fire Department; Sewanee, Engineer, Chief
The Lovett School 1962 — 1970
Private High School Diploma, College/University Preparatory and Advanced High School/Secondary Diploma Program
Sean E. Houston, CIMA® Sean E. Houston, CIMA®'s UBS Financial Services, Inc Experience February 2011 - March 2014
Job Financial Advisor at Morgan Stanley
Industry Financial Services
Experience
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
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
Micah Deem's UBS Financial Services, Inc Experience December 2012 - Present
Job Client Services Associate at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. December 2012 - Present
Gap Inc. June 2008 - June 2011
Education
East Carolina University 2012 — 2013
Master of Library & Information Science (M.L.I.S.)
UNCC 2008 — 2013
Bachelor's degree, Philosophy
UBS Financial Services Inc. December 2012 - Present
Gap Inc. June 2008 - June 2011
Education
East Carolina University 2012 — 2013
Master of Library & Information Science (M.L.I.S.)
UNCC 2008 — 2013
Bachelor's degree, Philosophy
Ron Espinoza Ron Espinoza's UBS Financial Services, Inc Experience 2006 - Present
Job Registered Client Service Associate at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. 2006 - Present
UBS Portfolio Manager 2002 - 2013
Morgan Stanley August 2001 - November 2006
Prudential Financial May 1995 - July 2000
Education
Cogswell Polytechnical College 1983 — 1986
Associate's degree - Civil Engineering, Civil Engineering
Cogswell Polytechnical College 1983 — 1986
Associate of Arts (A.A.), Civil Engineering
UBS Financial Services Inc. 2006 - Present
UBS Portfolio Manager 2002 - 2013
Morgan Stanley August 2001 - November 2006
Prudential Financial May 1995 - July 2000
Education
Cogswell Polytechnical College 1983 — 1986
Associate's degree - Civil Engineering, Civil Engineering
Cogswell Polytechnical College 1983 — 1986
Associate of Arts (A.A.), Civil Engineering
Craig Metz's UBS Financial Services, Inc Experience December 2011 - May 2015
Job Regional Investment Associate, Legg Mason Global Asset Management
Industry Financial Services
Experience
Legg Mason May 2015 - Present
UBS Financial Services Inc. December 2011 - May 2015
International Union of Operating Engineers Local 478 June 2010 - August 2010
SRS2-20IT Business Support Services June 2009 - August 2009
Education
Dickinson College 2007 — 2011
Bachelor of Arts, International Business and Management
Legg Mason May 2015 - Present
UBS Financial Services Inc. December 2011 - May 2015
International Union of Operating Engineers Local 478 June 2010 - August 2010
SRS2-20IT Business Support Services June 2009 - August 2009
Education
Dickinson College 2007 — 2011
Bachelor of Arts, International Business and Management
Scott C. Wardrop's UBS Financial Services, Inc Experience February 2009 - Present
Job First Vice President Investments | Wealth Management | Senior Portfolio Manager | UBS Financial Services
Industry Investment Management
Experience
UBS Financial Services Inc February 2009 - Present
Merrill Lynch April 1994 - February 2009
Education
Denison University 1986 — 1990
Bachelor of Science (B.S.), Economics
Forest Hills Central High School 1982 — 1986
UBS Financial Services Inc February 2009 - Present
Merrill Lynch April 1994 - February 2009
Education
Denison University 1986 — 1990
Bachelor of Science (B.S.), Economics
Forest Hills Central High School 1982 — 1986
Hardy Winburn Hardy Winburn's UBS Financial Services, Inc Experience January 2002 - Present
Job CIMA®, CFP®, ChFC®, CFS®, CLU®, Senior VPWealth Management, Portfolio Manager at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. January 2002 - Present
Skills
Retirement Planning, Investments, Wealth Management, Series 7, Equities, Fixed Income, Portfolio Management, Asset Allocation, Mutual Funds, Asset Management, Alternative Investments, Investment Advisory
Education
Duke University
UBS Financial Services Inc. January 2002 - Present
Skills
Retirement Planning, Investments, Wealth Management, Series 7, Equities, Fixed Income, Portfolio Management, Asset Allocation, Mutual Funds, Asset Management, Alternative Investments, Investment Advisory
Education
Duke University
Peter Preu, CLU®, CRPC®'s UBS Financial Services, Inc Experience July 2009 - March 2010
Job Field Vice President at Pacific Life Insurance Company
Industry Financial Services
Experience
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
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
Morgan Aries Morgan Aries's UBS Financial Services, Inc Experience March 2012 - December 2014
Job Independent Consultant
Industry Financial Services
Experience
Transition Management Resources January 2015 - Present
UBS Financial Services Inc. March 2012 - December 2014
Legacy Group Wealth Management July 2009 - December 2009
Fortress Investment Group February 2007 - January 2009
Skills
Customer Service, Investments, Management, Sales, Leadership, Strategic Planning, Financial Analysis, Finance, Equities, Team Building
Education
Hawaii Pacific University 2003 — 2005
MBA, Management & Finance
Coastal Carolina University 1999 — 2003
BSBA, Marketing / Golf Management
Transition Management Resources January 2015 - Present
UBS Financial Services Inc. March 2012 - December 2014
Legacy Group Wealth Management July 2009 - December 2009
Fortress Investment Group February 2007 - January 2009
Skills
Customer Service, Investments, Management, Sales, Leadership, Strategic Planning, Financial Analysis, Finance, Equities, Team Building
Education
Hawaii Pacific University 2003 — 2005
MBA, Management & Finance
Coastal Carolina University 1999 — 2003
BSBA, Marketing / Golf Management
Carol Trautvetter Carol Trautvetter's UBS Financial Services, Inc Experience February 2007 - Present
Job Registered Client Service Associate at UBS Financial Services Inc.
Industry Investment Banking
Experience
UBS Financial Services Inc. February 2007 - Present
Morgan Stanley March 2004 - February 2007
Education
DePaul University
Bachelor of Arts (BA), Workplace Learning and Organizational Change
UBS Financial Services Inc. February 2007 - Present
Morgan Stanley March 2004 - February 2007
Education
DePaul University
Bachelor of Arts (BA), Workplace Learning and Organizational Change
Chris L Cannon Chris L Cannon's UBS Financial Services, Inc Experience June 2013 - Present
Job Assistant Complex Director at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. June 2013 - Present
UBS Financial Services Inc. January 2008 - May 2013
UBS Financial Services Inc. June 2007 - December 2007
UBS Financial Services Inc. July 2005 - June 2007
UBS Financial Services Inc. January 2002 - July 2005
Morgan Stanley June 1999 - January 2002
Education
East Tennessee State University 2001 — 2003
MBA, Business
East Tennessee State University 1994 — 1999
BBA, Finance
Happy Valley High School 1991 — 1994
UBS Financial Services Inc. June 2013 - Present
UBS Financial Services Inc. January 2008 - May 2013
UBS Financial Services Inc. June 2007 - December 2007
UBS Financial Services Inc. July 2005 - June 2007
UBS Financial Services Inc. January 2002 - July 2005
Morgan Stanley June 1999 - January 2002
Education
East Tennessee State University 2001 — 2003
MBA, Business
East Tennessee State University 1994 — 1999
BBA, Finance
Happy Valley High School 1991 — 1994
Jeff Bedford Jeff Bedford's UBS Financial Services, Inc Experience 2003 - July 2014
Job Senior Financial Advisor at Wells Fargo Advisors Financial Network, LLC
Industry Financial Services
Experience
Wells Fargo Advisors Financial Network, LLC July 2014 - Present
UBS Financial Services Inc. 2003 - July 2014
Education
University of Tennessee-Knoxville 1977 — 1978
Bachelor of Business Administration (B.B.A.), Accounting
East Tennessee State University 1973 — 1977
Wells Fargo Advisors Financial Network, LLC July 2014 - Present
UBS Financial Services Inc. 2003 - July 2014
Education
University of Tennessee-Knoxville 1977 — 1978
Bachelor of Business Administration (B.B.A.), Accounting
East Tennessee State University 1973 — 1977
Owen Dugan Owen Dugan's UBS Financial Services, Inc Experience September 2012 - Present
Job UBS Financial Services Inc
Industry Financial Services
Experience
UBS Financial Services Inc. September 2012 - Present
Morgan Stanley Smith Barney July 1995 - September 2012
Kidder Peabody 1985 - 1995
Education
College of the Holy Cross 1979 — 1983
BA, English
St. Sebastian's 1973 — 1979
UBS Financial Services Inc. September 2012 - Present
Morgan Stanley Smith Barney July 1995 - September 2012
Kidder Peabody 1985 - 1995
Education
College of the Holy Cross 1979 — 1983
BA, English
St. Sebastian's 1973 — 1979
Kiara Reed Kiara Reed's UBS Financial Services, Inc Experience June 2007 - August 2007
Job MBA/MIA Dual Degree Candidate at Columbia Business School
Industry Public Policy
Experience
BNP Paribas June 2014 - Present
Ralph Lauren November 2011 - August 2013
Ralph Lauren August 2008 - November 2011
Columbia University - Earth Institute July 2010 - July 2011
Ralph Lauren August 2009 - December 2009
UBS Financial Services Inc June 2007 - August 2007
Skills
Management, Driving Business Growth, Budgets, Fashion, Account Management, Microsoft Excel, CRM, Analysis, Account Executives, Spanish, Sales, Merchandising, Account Planning, Leadership, Retail, Stata
Education
Columbia University - Columbia Business School 2014 — 2016
Master of Business Administration (M.B.A.)
Columbia University - School of International and Public Affairs 2013 — 2015
Master of International Affairs, International Finance and Economic Policy
Columbia University
Bachelor of Arts, Economics and Political Science
Bronx High School of Science
Bronx H.S. of Science Diploma, Math and Science Concentration
BNP Paribas June 2014 - Present
Ralph Lauren November 2011 - August 2013
Ralph Lauren August 2008 - November 2011
Columbia University - Earth Institute July 2010 - July 2011
Ralph Lauren August 2009 - December 2009
UBS Financial Services Inc June 2007 - August 2007
Skills
Management, Driving Business Growth, Budgets, Fashion, Account Management, Microsoft Excel, CRM, Analysis, Account Executives, Spanish, Sales, Merchandising, Account Planning, Leadership, Retail, Stata
Education
Columbia University - Columbia Business School 2014 — 2016
Master of Business Administration (M.B.A.)
Columbia University - School of International and Public Affairs 2013 — 2015
Master of International Affairs, International Finance and Economic Policy
Columbia University
Bachelor of Arts, Economics and Political Science
Bronx High School of Science
Bronx H.S. of Science Diploma, Math and Science Concentration
Anita Patwardhan Anita Patwardhan's UBS Financial Services, Inc Experience January 2010 - April 2010
Job Staff Accountant at Ignite USA
Industry Financial Services
Experience
Ignite USA September 2015 - Present
Groupon March 2015 - July 2015
Navigant Consulting February 2011 - March 2015
UBS FINANCIAL SERVICES INC January 2010 - April 2010
CHICAGO FEDERAL FUNDING CORPORATION August 2006 - June 2008
BRUMMET & OLSEN, LLP June 2005 - August 2005
Skills
Business Process..., Access, Data Analysis, Strategic Financial..., Financial Services, Marketing Strategy, Analysis, Accounts Payable, Accounting, Payroll, Leadership
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2015 — 2017
Master of Science Accountancy (MSA)
DePaul University - Charles H. Kellstadt Graduate School of Business 2011 — 2013
Masters of Business Administration, Health Sector Management & Investment Management
Loyola University Chicago
Bachelor, Business Administration; Economics
Ignite USA September 2015 - Present
Groupon March 2015 - July 2015
Navigant Consulting February 2011 - March 2015
UBS FINANCIAL SERVICES INC January 2010 - April 2010
CHICAGO FEDERAL FUNDING CORPORATION August 2006 - June 2008
BRUMMET & OLSEN, LLP June 2005 - August 2005
Skills
Business Process..., Access, Data Analysis, Strategic Financial..., Financial Services, Marketing Strategy, Analysis, Accounts Payable, Accounting, Payroll, Leadership
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2015 — 2017
Master of Science Accountancy (MSA)
DePaul University - Charles H. Kellstadt Graduate School of Business 2011 — 2013
Masters of Business Administration, Health Sector Management & Investment Management
Loyola University Chicago
Bachelor, Business Administration; Economics
Michael Meador Michael Meador's UBS Financial Services, Inc Experience January 2011 - January 2012
Job Senior Associate at Bernstein Global Wealth Management
Industry Financial Services
Experience
AB Bernstein September 2013 - Present
Provident Funding Associates L.P. March 2013 - September 2013
Provident Funding Associates L.P. June 2012 - March 2013
Summit Student Investment Fund August 2011 - May 2012
President's Leadership Program August 2010 - May 2012
UBS Financial Services, Inc January 2011 - January 2012
Skills
Investments, Management, Financial Analysis, Bloomberg, Leadership Development, Microsoft Excel, Customer Relations, Recruiting, PowerPoint, Morningstar, Marketing, Bloomberg Terminal, Outlook, Excel, Time Management, Analysis, Series 7, Series 63
Education
Colorado State University 2008 — 2012
Bachelor of Science, Business Administration; Finance
AB Bernstein September 2013 - Present
Provident Funding Associates L.P. March 2013 - September 2013
Provident Funding Associates L.P. June 2012 - March 2013
Summit Student Investment Fund August 2011 - May 2012
President's Leadership Program August 2010 - May 2012
UBS Financial Services, Inc January 2011 - January 2012
Skills
Investments, Management, Financial Analysis, Bloomberg, Leadership Development, Microsoft Excel, Customer Relations, Recruiting, PowerPoint, Morningstar, Marketing, Bloomberg Terminal, Outlook, Excel, Time Management, Analysis, Series 7, Series 63
Education
Colorado State University 2008 — 2012
Bachelor of Science, Business Administration; Finance
MaryDoreen DiGiacomo MaryDoreen DiGiacomo's UBS Financial Services, Inc Experience July 1998 - Present
Job Senior Financial Services Executive: (IT, Logistics, Divisional Administration, Program Management)
Industry Financial Services
Experience
UBS Wealth Management Americas July 1998 - Present
UBS Financial Services Inc July 1998 - Present
Education
College of the Holy Cross
BA, Mathematics
Montclair State University
MA, Mathematics
UBS Wealth Management Americas July 1998 - Present
UBS Financial Services Inc July 1998 - Present
Education
College of the Holy Cross
BA, Mathematics
Montclair State University
MA, Mathematics
Shelley Rickman Shelley Rickman's UBS Financial Services, Inc Experience January 2001 - Present
Job CFP® at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. January 2001 - Present
Franklin Capital Advisors 1999 - 2000
Ford Motor Credit 1995 - 1999
Education
College for Financial Planning 2005 — 2007
CERTIFIED FINANCIAL PLANNER™
University of Oregon 1993 — 1995
Bachelor's degree, Business Managment
Oregon State University 1991 — 1994
Business Management
Crater High School 1989 — 1991
UBS Financial Services Inc. January 2001 - Present
Franklin Capital Advisors 1999 - 2000
Ford Motor Credit 1995 - 1999
Education
College for Financial Planning 2005 — 2007
CERTIFIED FINANCIAL PLANNER™
University of Oregon 1993 — 1995
Bachelor's degree, Business Managment
Oregon State University 1991 — 1994
Business Management
Crater High School 1989 — 1991
Noah Ennis, CFP® AWMA®'s UBS Financial Services, Inc Experience June 2013 - April 2015
Job Financial Advisor with The Millman Group at Morgan Stanley
Industry Financial Services
Experience
Morgan Stanley April 2015 - Present
UBS Financial Services Inc. June 2013 - April 2015
UBS Investment Bank July 2011 - June 2013
Hamilton College Office of Admissions August 2010 - August 2011
Morgan Stanley June 2010 - August 2010
Paloma Partners June 2009 - August 2009
Education
College for Financial Planning 2013 — 2013
AWMA®, Accredited Wealth Management Advisor SM, A
Hamilton College 2007 — 2011
BA, Ecomonics & Hispanic Studies
Morgan Stanley April 2015 - Present
UBS Financial Services Inc. June 2013 - April 2015
UBS Investment Bank July 2011 - June 2013
Hamilton College Office of Admissions August 2010 - August 2011
Morgan Stanley June 2010 - August 2010
Paloma Partners June 2009 - August 2009
Education
College for Financial Planning 2013 — 2013
AWMA®, Accredited Wealth Management Advisor SM, A
Hamilton College 2007 — 2011
BA, Ecomonics & Hispanic Studies
Stuart Baron's UBS Financial Services, Inc Experience December 2005 - January 2008
Job Senior Tax Consultant/Office Manager at R&G Brenner Income Tax Consultants
Industry Accounting
Experience
R&G Brenner Income Tax Consultants April 2013 - Present
Independent January 2011 - Present
Various publications April 1993 - Present
H&R Block January 2008 - April 2013
UBS Financial Services, Inc December 2005 - January 2008
Lebenthal, Inc January 1999 - December 2005
New Haven Register January 1997 - January 1999
Newsday October 1994 - December 1996
Baron's On Deck 1992 - 1996
Skills
Financial Planning, Small Business, Income Tax, Tax Preparation, Money Management, Writing, Copy Editing, Notary Public, Strategic Financial..., Investments, Tax, Finance, Tax Returns, Financial Reporting, Auditing, General Ledger, Tax Research, Securities, Financial Planners, Accounts Receivable, Accounting, Corporate Tax, Bookkeeping, Payroll, IRS, Microsoft Excel, Accounts Payable, QuickBooks, Tax Law, Budgets, Financial Analysis, Tax Accounting, Portfolio Management
Education
Yale University - Yale School of Management
MPPM/MBA, Finance, Accounting
Cornell University
BA, History, Economics
Stuyvesant High School
R&G Brenner Income Tax Consultants April 2013 - Present
Independent January 2011 - Present
Various publications April 1993 - Present
H&R Block January 2008 - April 2013
UBS Financial Services, Inc December 2005 - January 2008
Lebenthal, Inc January 1999 - December 2005
New Haven Register January 1997 - January 1999
Newsday October 1994 - December 1996
Baron's On Deck 1992 - 1996
Skills
Financial Planning, Small Business, Income Tax, Tax Preparation, Money Management, Writing, Copy Editing, Notary Public, Strategic Financial..., Investments, Tax, Finance, Tax Returns, Financial Reporting, Auditing, General Ledger, Tax Research, Securities, Financial Planners, Accounts Receivable, Accounting, Corporate Tax, Bookkeeping, Payroll, IRS, Microsoft Excel, Accounts Payable, QuickBooks, Tax Law, Budgets, Financial Analysis, Tax Accounting, Portfolio Management
Education
Yale University - Yale School of Management
MPPM/MBA, Finance, Accounting
Cornell University
BA, History, Economics
Stuyvesant High School
Richard Vinci Richard Vinci's UBS Financial Services, Inc Experience August 2007 - Present
Job Financial Advisor at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. August 2007 - Present
UBS Financial Services Inc. March 1993 - August 2007
Education
Dickinson College 1989 — 1993
Bachelor of Arts (B.A.), Economics
UBS Financial Services Inc. August 2007 - Present
UBS Financial Services Inc. March 1993 - August 2007
Education
Dickinson College 1989 — 1993
Bachelor of Arts (B.A.), Economics
Jim Travis Jim Travis's UBS Financial Services, Inc Experience September 2011 - Present
Job First Vice President Wealth Management at UBS CERTIFIED FINANCIAL PLANNER™ and Financial Advisor
Industry Financial Services
Experience
UBS Financial Services Inc. September 2011 - Present
Wells Fargo September 2004 - September 2011
Morgan Stanley November 2000 - September 2004
Merrill Lynch June 1998 - November 2000
Wells Fargo October 1994 - May 1998
Education
Dickinson College 1984 — 1988
BA, Policy & Management Studies/Economics
Temple University - Fox School of Business and Management 1994 — 1997
MBA, Finance
College for Financial Planning 2004 — 2005
CFP, Financial Planning
UBS Financial Services Inc. September 2011 - Present
Wells Fargo September 2004 - September 2011
Morgan Stanley November 2000 - September 2004
Merrill Lynch June 1998 - November 2000
Wells Fargo October 1994 - May 1998
Education
Dickinson College 1984 — 1988
BA, Policy & Management Studies/Economics
Temple University - Fox School of Business and Management 1994 — 1997
MBA, Finance
College for Financial Planning 2004 — 2005
CFP, Financial Planning
Robin Potenza's UBS Financial Services, Inc Experience September 2003 - Present
Job Senior Registered Client Service Associate at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. September 2003 - Present
Education
Cornell University 1978 — 1980
Bachelor of Science (B.S.), Agriculture
State University of New York at Farmingdale 1976 — 1978
A.A.S., Animal Sciences
UBS Financial Services Inc. September 2003 - Present
Education
Cornell University 1978 — 1980
Bachelor of Science (B.S.), Agriculture
State University of New York at Farmingdale 1976 — 1978
A.A.S., Animal Sciences
Paul R. Hakel, CFP Paul R. Hakel, CFP's UBS Financial Services, Inc Experience 1981 - Present
Job Senior Vice President Wealth Management
Industry Financial Services
Experience
UBS Financial Services, Inc 1981 - Present
Education
College for Financial Planning 1983 — 1985
CFP, Financial Planning
Gannon University 1978 — 1982
MBA, Marketing
University of Notre Dame 1972 — 1976
BBA, Finance
Cathedral Prep
UBS Financial Services, Inc 1981 - Present
Education
College for Financial Planning 1983 — 1985
CFP, Financial Planning
Gannon University 1978 — 1982
MBA, Marketing
University of Notre Dame 1972 — 1976
BBA, Finance
Cathedral Prep
Gerald Fils Gerald Fils's UBS Financial Services, Inc Experience April 2010 - 2015
Job Financial Advisor at Adventus Veritas
Industry Financial Services
Experience
Adventus Veritas May 2015 - Present
UBS Financial Services Inc. April 2010 - 2015
Morgan Stanley January 2005 - April 2010
Education
Cornell University 1999 — 2003
Adventus Veritas May 2015 - Present
UBS Financial Services Inc. April 2010 - 2015
Morgan Stanley January 2005 - April 2010
Education
Cornell University 1999 — 2003
John F. Robinson John F. Robinson's UBS Financial Services, Inc Experience July 2005 - January 2013
Job Senior Vice President at FTN Financial
Industry Financial Services
Experience
FTN Financial January 2013 - Present
UBS Financial Services Inc July 2005 - January 2013
FTN Financial May 1997 - April 2005
Skills
Financial Services, Investments, Fixed Income, Portfolio Management, Leadership, Series 7
Education
The University of Chicago - Booth School of Business
Master, Business Administration
DePaul University
Bachelor of Science, Finance
FTN Financial January 2013 - Present
UBS Financial Services Inc July 2005 - January 2013
FTN Financial May 1997 - April 2005
Skills
Financial Services, Investments, Fixed Income, Portfolio Management, Leadership, Series 7
Education
The University of Chicago - Booth School of Business
Master, Business Administration
DePaul University
Bachelor of Science, Finance
Brent Shoemaker Brent Shoemaker's UBS Financial Services, Inc Experience May 2006 - August 2006
Job Research Analyst at Shetland Investments
Industry Investment Management
Experience
Shetland Investments September 2008 - Present
Dyer Capital Management Inc. June 2007 - August 2007
UBS Financial Services Inc. May 2006 - August 2006
Skills
Equities, Microsoft Office, Research, Financial Analysis, Investments
Education
Dickinson College 2004 — 2008
BA, cum laude, Economics
The London School of Economics and Political Science (LSE) 2006 — 2007
Economics
Shetland Investments September 2008 - Present
Dyer Capital Management Inc. June 2007 - August 2007
UBS Financial Services Inc. May 2006 - August 2006
Skills
Equities, Microsoft Office, Research, Financial Analysis, Investments
Education
Dickinson College 2004 — 2008
BA, cum laude, Economics
The London School of Economics and Political Science (LSE) 2006 — 2007
Economics
Andy Velez Andy Velez's UBS Financial Services, Inc Experience February 2006 - October 2010
Job Senior Vice President & Assistant General Counsel at Bank of America
Industry Financial Services
Experience
Bank of America April 2015 - Present
UBS Investment Bank November 2010 - April 2015
UBS Financial Services Inc. February 2006 - October 2010
Epstein Becker & Green, P.C. June 2002 - February 2006
Anderson Kill & Olick, P.C. September 1997 - June 2002
Skills
Litigation, Employment Law, Arbitration, Employment Litigation, Discrimination, Dispute Resolution, Mediation, Employment Contracts, Securities Regulation, Class Actions, Courts, Human Resources, Legal Advice, Restructuring, Corporate Governance, Due Diligence, Commercial Litigation
Education
New York University School of Law 1994 — 1997
JD, Law
Cornell University 1989 — 1993
BS, Industrial & Labor Relations
Bank of America April 2015 - Present
UBS Investment Bank November 2010 - April 2015
UBS Financial Services Inc. February 2006 - October 2010
Epstein Becker & Green, P.C. June 2002 - February 2006
Anderson Kill & Olick, P.C. September 1997 - June 2002
Skills
Litigation, Employment Law, Arbitration, Employment Litigation, Discrimination, Dispute Resolution, Mediation, Employment Contracts, Securities Regulation, Class Actions, Courts, Human Resources, Legal Advice, Restructuring, Corporate Governance, Due Diligence, Commercial Litigation
Education
New York University School of Law 1994 — 1997
JD, Law
Cornell University 1989 — 1993
BS, Industrial & Labor Relations
Amanda Madison Amanda Madison's UBS Financial Services, Inc Experience April 2009 - August 2009
Job Tax Senior at Moss Adams LLP
Industry Accounting
Experience
Moss Adams LLP January 2013 - Present
Mohler, Nixon & Williams (combined with Moss Adams in 2013) January 2011 - December 2012
Sutterfield Consignment Gallery October 2010 - January 2011
Auriga Corporation August 2009 - January 2011
David G. Martin & Associates September 2008 - December 2010
UBS Financial Services Inc April 2009 - August 2009
Bay Advanced Technologies January 2006 - October 2006
Skills
Accounting, Tax Preparation, QuickBooks, Accounts Receivable, Data Entry, Corporate Tax, Finance, Payroll, Tax, Accounts Payable, Microsoft Office, Tax Accounting
Education
Santa Clara University 2007 — 2009
BS, Accounting
College of San Mateo 2006 — 2007
Sonoma State University 2005 — 2006
Moss Adams LLP January 2013 - Present
Mohler, Nixon & Williams (combined with Moss Adams in 2013) January 2011 - December 2012
Sutterfield Consignment Gallery October 2010 - January 2011
Auriga Corporation August 2009 - January 2011
David G. Martin & Associates September 2008 - December 2010
UBS Financial Services Inc April 2009 - August 2009
Bay Advanced Technologies January 2006 - October 2006
Skills
Accounting, Tax Preparation, QuickBooks, Accounts Receivable, Data Entry, Corporate Tax, Finance, Payroll, Tax, Accounts Payable, Microsoft Office, Tax Accounting
Education
Santa Clara University 2007 — 2009
BS, Accounting
College of San Mateo 2006 — 2007
Sonoma State University 2005 — 2006
Canela Greenwood Canela Greenwood's UBS Financial Services, Inc Experience March 2008 - Present
Job Financial Advisor at UBS Financial Services Inc
Industry Financial Services
Experience
UBS Financial Services Inc March 2008 - Present
Merrill Lynch March 2005 - January 2008
Education
Northeastern University 2001 — 2003
BA, Finance & International Business
D'Amore-McKim School of Business at Northeastern University
UBS Financial Services Inc March 2008 - Present
Merrill Lynch March 2005 - January 2008
Education
Northeastern University 2001 — 2003
BA, Finance & International Business
D'Amore-McKim School of Business at Northeastern University
Maria Concilio, CFP® Maria Concilio, CFP®'s UBS Financial Services, Inc Experience March 2014 - Present
Job Senior Wealth Strategy Associate at UBS Financial Services Inc
Industry Financial Services
Experience
UBS Financial Services Inc March 2014 - Present
UBS Financial Services Inc March 2013 - February 2014
UBS Financial Services Inc June 2009 - February 2013
UBS Financial Services Inc July 2008 - April 2009
Education
Colgate University 2004 — 2008
AB, History, Art and Art History
Herricks
UBS Financial Services Inc March 2014 - Present
UBS Financial Services Inc March 2013 - February 2014
UBS Financial Services Inc June 2009 - February 2013
UBS Financial Services Inc July 2008 - April 2009
Education
Colgate University 2004 — 2008
AB, History, Art and Art History
Herricks
Gil Blitz Gil Blitz's UBS Financial Services, Inc Experience December 1986 - Present
Job
Industry Financial Services
Experience
UBS Financial Services Inc. December 1986 - Present
Education
University of Michigan
Deerfield Academy
UBS Financial Services Inc. December 1986 - Present
Education
University of Michigan
Deerfield Academy
Alex McCrohan, CFP® Alex McCrohan, CFP®'s UBS Financial Services, Inc Experience July 2002 - Present
Job Vice President Wealth Management UBS Financial Services, Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. July 2002 - Present
UBS Financial Services Inc. July 2002 - Present
Skills
Strategic Planning, Public Speaking, Leadership, Team Building, Finance, Wealth Management, Project Management, Marketing Strategy, Sales, Program Management
Education
Dartmouth College 1990 — 1994
Bachelor of Arts (B.A.)
UBS Financial Services Inc. July 2002 - Present
UBS Financial Services Inc. July 2002 - Present
Skills
Strategic Planning, Public Speaking, Leadership, Team Building, Finance, Wealth Management, Project Management, Marketing Strategy, Sales, Program Management
Education
Dartmouth College 1990 — 1994
Bachelor of Arts (B.A.)
Marcy Tolkoff, J.D. Marcy Tolkoff, J.D.'s UBS Financial Services, Inc Experience January 2008 - August 2013
Job Investment Communications Manager at Wilmington Trust
Industry Financial Services
Experience
Wilmington Trust June 2014 - Present
UBS Financial Services Inc. January 2008 - August 2013
Consultant 2007 - 2008
Advanstar Communications 2005 - 2006
Consultant January 2001 - January 2005
Heinrich Bauer Verlag January 1988 - January 2001
Prentice-Hall State & Local Taxes January 1986 - January 1987
Skills
Editing, Content Development, Writing, Editorial, Newsletters, Press Releases, Marketing Communications, Management, Creative Writing, Email Marketing, Brochures, Copywriting, Books, Publishing, Publications, Marketing, Content Management, Digital Marketing, Web Content, Internal Communications, Corporate Communications, Magazines, Interviews, Copy Editing, Strategic Communications, Blogging, Media Relations
Education
Pace University School of Law
Juris Doctor, Law
The George Washington University 1977 — 1979
B.A., English Literature
Cornell University 1975 — 1977
Industrial and Labor Relations
Wilmington Trust June 2014 - Present
UBS Financial Services Inc. January 2008 - August 2013
Consultant 2007 - 2008
Advanstar Communications 2005 - 2006
Consultant January 2001 - January 2005
Heinrich Bauer Verlag January 1988 - January 2001
Prentice-Hall State & Local Taxes January 1986 - January 1987
Skills
Editing, Content Development, Writing, Editorial, Newsletters, Press Releases, Marketing Communications, Management, Creative Writing, Email Marketing, Brochures, Copywriting, Books, Publishing, Publications, Marketing, Content Management, Digital Marketing, Web Content, Internal Communications, Corporate Communications, Magazines, Interviews, Copy Editing, Strategic Communications, Blogging, Media Relations
Education
Pace University School of Law
Juris Doctor, Law
The George Washington University 1977 — 1979
B.A., English Literature
Cornell University 1975 — 1977
Industrial and Labor Relations
David Walker, CFA David Walker, CFA's UBS Financial Services, Inc Experience 2011 - 2012
Job Director at BNY Mellon Wealth Management
Industry Investment Management
Experience
BNY Mellon Wealth Management April 2015 - Present
Trillium Asset Management 2012 - 2014
UBS Financial Services Inc. 2011 - 2012
Walker Capital Management 2009 - 2010
Van Kampen Investments 1990 - 2008
Bank of New England 1989 - 1990
Digital Equipment Corporation 1986 - 1987
Skills
Equities, Corporate Finance, Capital Markets, Securities, Asset Managment, Mutual Funds, Competitive Analysis, Portfolio Management, Derivatives, Asset Management, Strategy, Asset Allocation, Equity Research, Mergers & Acquisitions, Investments, Finance, Wealth Management, Emerging Markets, Bloomberg, Financial Advisory, Valuation, Hedge Funds, Fixed Income
Education
Vanderbilt University - Owen Graduate School of Management 1987 — 1989
MBA, Finance and Management Information Systems
Duke University 1982 — 1986
BS, Computer Science
Belmont Hill School
BNY Mellon Wealth Management April 2015 - Present
Trillium Asset Management 2012 - 2014
UBS Financial Services Inc. 2011 - 2012
Walker Capital Management 2009 - 2010
Van Kampen Investments 1990 - 2008
Bank of New England 1989 - 1990
Digital Equipment Corporation 1986 - 1987
Skills
Equities, Corporate Finance, Capital Markets, Securities, Asset Managment, Mutual Funds, Competitive Analysis, Portfolio Management, Derivatives, Asset Management, Strategy, Asset Allocation, Equity Research, Mergers & Acquisitions, Investments, Finance, Wealth Management, Emerging Markets, Bloomberg, Financial Advisory, Valuation, Hedge Funds, Fixed Income
Education
Vanderbilt University - Owen Graduate School of Management 1987 — 1989
MBA, Finance and Management Information Systems
Duke University 1982 — 1986
BS, Computer Science
Belmont Hill School
Eugene (Gene) Stoeckly Eugene (Gene) Stoeckly's UBS Financial Services, Inc Experience March 2007 - Present
Job Senior Vice PresidentInvestments at UBS Financial Services, Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. March 2007 - Present
Education
Colorado College 1967 — 1971
BA, Political Economy
UBS Financial Services Inc. March 2007 - Present
Education
Colorado College 1967 — 1971
BA, Political Economy
Alexandre-Cyril Manz Alexandre-Cyril Manz's UBS Financial Services, Inc Experience September 2006 - May 2011
Job General Counsel at UBS Financial Services Incorporated of Puerto Rico
Industry Financial Services
Experience
UBS Financial Services Incorporated of Puerto Rico May 2011 - Present
UBS Financial Services Inc. September 2006 - May 2011
Squire, Sanders & Dempsey LLP September 1999 - August 2006
Haythe & Curley LLP (now TORYS) September 1997 - September 1999
Skills
Cross-border..., Structured Products, Securities, Banking, Securities Law, Structured Finance, Securities Regulation, AML, Corporate Governance, Corporate Law, Due Diligence, Finance, Legal Advice, Legal Writing, Loans
Education
Columbia Law School 1996 — 1997
LL.M., Law
1990 — 1995
lic. iur. utr., Law
Wirtschaftsgymnasium Kirchenfeld 1984 — 1988
Matura Type "E", Law/Economics
La Chataigneraie International School 1981 — 1984
Vienna International School 1975 — 1981
UBS Financial Services Incorporated of Puerto Rico May 2011 - Present
UBS Financial Services Inc. September 2006 - May 2011
Squire, Sanders & Dempsey LLP September 1999 - August 2006
Haythe & Curley LLP (now TORYS) September 1997 - September 1999
Skills
Cross-border..., Structured Products, Securities, Banking, Securities Law, Structured Finance, Securities Regulation, AML, Corporate Governance, Corporate Law, Due Diligence, Finance, Legal Advice, Legal Writing, Loans
Education
Columbia Law School 1996 — 1997
LL.M., Law
1990 — 1995
lic. iur. utr., Law
Wirtschaftsgymnasium Kirchenfeld 1984 — 1988
Matura Type "E", Law/Economics
La Chataigneraie International School 1981 — 1984
Vienna International School 1975 — 1981
Charles Todd Charles Todd's UBS Financial Services, Inc Experience July 2006 - Present
Job Senior Vice President Investments at UBS
Industry Financial Services
Experience
UBS Financial Services, Inc July 2006 - Present
Boys & Girls Club 2007 - 2011
Morgan Stanley July 1980 - August 2006
Education
Indiana University Bloomington 1976 — 1979
BS, Business
University of Pennsylvania - The Wharton School 1988 — 1989
CIMA, Business
College for Financial Planning 1985 — 1987
CFP, Business
Vincennes University 1974 — 1976
Associate, Business
UBS Financial Services, Inc July 2006 - Present
Boys & Girls Club 2007 - 2011
Morgan Stanley July 1980 - August 2006
Education
Indiana University Bloomington 1976 — 1979
BS, Business
University of Pennsylvania - The Wharton School 1988 — 1989
CIMA, Business
College for Financial Planning 1985 — 1987
CFP, Business
Vincennes University 1974 — 1976
Associate, Business
Matt Frederick Matt Frederick's UBS Financial Services, Inc Experience July 2011 - Present
Job Financial Advisor at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. July 2011 - Present
Morgan Stanley Smith Barney December 2004 - July 2011
PLANCO August 1996 - November 2004
Education
Doane College 1992 — 1997
Economics & Business Administration
Lincoln East High School 1988 — 1992
UBS Financial Services Inc. July 2011 - Present
Morgan Stanley Smith Barney December 2004 - July 2011
PLANCO August 1996 - November 2004
Education
Doane College 1992 — 1997
Economics & Business Administration
Lincoln East High School 1988 — 1992
Lee Ann Quenault Lee Ann Quenault's UBS Financial Services, Inc Experience May 2012 - Present
Job First Vice President UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. May 2012 - Present
Fun Rain Boots May 2003 - September 2013
Morgan Stanley Smith Barney April 1999 - May 2012
Merrill Lynch February 1992 - April 1999
Education
Voorhees High School 1979 — 1983
HS Degree
Fairleigh Dickinson University-Florham Campus
Business
College of Saint Elizabeth
Business, Art History
UBS Financial Services Inc. May 2012 - Present
Fun Rain Boots May 2003 - September 2013
Morgan Stanley Smith Barney April 1999 - May 2012
Merrill Lynch February 1992 - April 1999
Education
Voorhees High School 1979 — 1983
HS Degree
Fairleigh Dickinson University-Florham Campus
Business
College of Saint Elizabeth
Business, Art History
Claire A. Adams Claire A. Adams's UBS Financial Services, Inc Experience June 2012 - Present
Job Senior Vice President at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. June 2012 - Present
Morgan Stanley Smith Barney April 1996 - June 2012
A. G. Edwards and Sons February 1990 - April 1996
Education
University of Pennsylvania - The Wharton School 2007 — 2008
CIMA(Ceritifed Investment Management Analyst), Investment Analysis
College for Financial Planning
CFP, Financial Planning
Northeastern University
Bachelor of Arts (B.A.), Psychology
UBS Financial Services Inc. June 2012 - Present
Morgan Stanley Smith Barney April 1996 - June 2012
A. G. Edwards and Sons February 1990 - April 1996
Education
University of Pennsylvania - The Wharton School 2007 — 2008
CIMA(Ceritifed Investment Management Analyst), Investment Analysis
College for Financial Planning
CFP, Financial Planning
Northeastern University
Bachelor of Arts (B.A.), Psychology
Michael Vary Michael Vary's UBS Financial Services, Inc Experience December 2009 - Present
Job Financial Advisor at UBS Financial Services, Inc.
Industry Financial Services
Experience
UBS Financial Services, Inc December 2009 - Present
Cleveland Youth Rowing Association June 2013 - Present
BNP Paribas Japan Ltd. February 2008 - February 2009
BNP Paribas 2006 - 2008
The Royal Bank of Scotland Group July 2005 - April 2006
Education
Columbia University in the City of New York 2001 — 2005
BA, Economics
Saint Ignatius 1998 — 2001
UBS Financial Services, Inc December 2009 - Present
Cleveland Youth Rowing Association June 2013 - Present
BNP Paribas Japan Ltd. February 2008 - February 2009
BNP Paribas 2006 - 2008
The Royal Bank of Scotland Group July 2005 - April 2006
Education
Columbia University in the City of New York 2001 — 2005
BA, Economics
Saint Ignatius 1998 — 2001
Ken Rosenbaum Ken Rosenbaum's UBS Financial Services, Inc Experience September 1998 - December 2009
Job Wealth Advisor at BUCKINGHAM Family of Financial Services
Industry Financial Services
Experience
BUCKINGHAM November 2009 - Present
UBS Financial Services Inc September 1998 - December 2009
Long Grove Trading Company August 1996 - August 1998
Premark Int'l 1993 - 1996
AM&G 1991 - 1993
Education
DePaul University 1994 — 1998
MBA, Finance
Indiana University Bloomington 1987 — 1991
Business, Accounting
BUCKINGHAM November 2009 - Present
UBS Financial Services Inc September 1998 - December 2009
Long Grove Trading Company August 1996 - August 1998
Premark Int'l 1993 - 1996
AM&G 1991 - 1993
Education
DePaul University 1994 — 1998
MBA, Finance
Indiana University Bloomington 1987 — 1991
Business, Accounting
Adam Pearsall Adam Pearsall's UBS Financial Services, Inc Experience September 2004 - Present
Job Financial Advisor at UBS Financial Services
Industry Financial Services
Experience
UBS Financial Services Inc September 2004 - Present
Garnet Hill XC Ski Center 1994 - 2007
UBS September 1999 - September 2004
Self Employed February 1999 - September 1999
Education
College for Financial Planning 2007 — 2008
Certified Financial Planner (CFP) Designation, Financial Planning
Colby College 1994 — 1998
BA, Geology
UBS Financial Services Inc September 2004 - Present
Garnet Hill XC Ski Center 1994 - 2007
UBS September 1999 - September 2004
Self Employed February 1999 - September 1999
Education
College for Financial Planning 2007 — 2008
Certified Financial Planner (CFP) Designation, Financial Planning
Colby College 1994 — 1998
BA, Geology
Maura Maness Maura Maness's UBS Financial Services, Inc Experience April 2014 - Present
Job Client Services Associate at UBS Financial Services Inc.
Industry Executive Office
Experience
UBS Financial Services Inc. April 2014 - Present
Earl Architects January 2013 - April 2014
A.T. LOCKE, PC July 2009 - September 2012
Landmark Business Solutions October 2000 - June 2009
SCRA January 1997 - June 2000
Strategic Marketing August 1996 - January 1997
Cambar Software May 1990 - August 1996
Education
The Citadel 1991 — 1993
MBA
College of Charleston 1984 — 1988
BS, Business Administration
UBS Financial Services Inc. April 2014 - Present
Earl Architects January 2013 - April 2014
A.T. LOCKE, PC July 2009 - September 2012
Landmark Business Solutions October 2000 - June 2009
SCRA January 1997 - June 2000
Strategic Marketing August 1996 - January 1997
Cambar Software May 1990 - August 1996
Education
The Citadel 1991 — 1993
MBA
College of Charleston 1984 — 1988
BS, Business Administration
Jonathan W. Levine Jonathan W. Levine's UBS Financial Services, Inc Experience April 1997 - Present
Job Financial Advisor at UBS Financial Services, Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. April 1997 - Present
Education
University of Vermont 1998 — 2002
Batchelor of Science, School of Natural Resources
College for Financial Planning
CFP, Certified Financial Planner
Investment Management Consultants Association
CIMA, Certified Investment Managment Analyst
UBS Financial Services Inc. April 1997 - Present
Education
University of Vermont 1998 — 2002
Batchelor of Science, School of Natural Resources
College for Financial Planning
CFP, Certified Financial Planner
Investment Management Consultants Association
CIMA, Certified Investment Managment Analyst
Nicole Karolicki's UBS Financial Services, Inc Experience April 2011 - December 2013
Job Client Service Associate at Stifel
Industry Financial Services
Experience
Stifel Financial Corp. December 2014 - Present
First Niagara Bank December 2013 - October 2014
UBS Financial Services Inc. April 2011 - December 2013
UBS Financial Services Inc January 2011 - April 2011
Curry College September 2010 - April 2011
Curry College October 2008 - April 2011
Sodexo January 2010 - November 2010
Education
Curry College 2007 — 2011
Bachelor of Arts, Management; Finance; Minor Communication
Cheshire High School
Stifel Financial Corp. December 2014 - Present
First Niagara Bank December 2013 - October 2014
UBS Financial Services Inc. April 2011 - December 2013
UBS Financial Services Inc January 2011 - April 2011
Curry College September 2010 - April 2011
Curry College October 2008 - April 2011
Sodexo January 2010 - November 2010
Education
Curry College 2007 — 2011
Bachelor of Arts, Management; Finance; Minor Communication
Cheshire High School
Tony Barrett Tony Barrett's UBS Financial Services, Inc Experience 1999 - 2006
Job Senior Vice President of Investments, PA/NJ/DE Complex Manager at Raymond James
Industry Financial Services
Experience
Raymond James 2013 - Present
Raymond James 2009 - 2013
Merrill Lynch 2006 - 2009
UBS Financial Services Inc. 1999 - 2006
Merrill Lynch 1995 - 1999
SNL Financial 1994 - 1995
Skills
Investments, Securities, Financial Advisory, Wealth Management, Sales Management
Education
Colgate University 1990 — 1994
B.A., Economics
Raymond James 2013 - Present
Raymond James 2009 - 2013
Merrill Lynch 2006 - 2009
UBS Financial Services Inc. 1999 - 2006
Merrill Lynch 1995 - 1999
SNL Financial 1994 - 1995
Skills
Investments, Securities, Financial Advisory, Wealth Management, Sales Management
Education
Colgate University 1990 — 1994
B.A., Economics
Jim Foard, Jr. Jim Foard, Jr.'s UBS Financial Services, Inc Experience February 2014 - Present
Job Senior Vice President Wealth Management at UBS Financial Services Inc
Industry Financial Services
Experience
UBS Financial Services Inc February 2014 - Present
UBS Financial Services Inc. January 2013 - January 2014
UBS Financial Services Inc. January 2007 - December 2012
UBS PaineWebber May 2002 - December 2006
Prudential Securities January 2000 - May 2002
Education
College of the Holy Cross 1988 — 1992
BA
UBS Financial Services Inc February 2014 - Present
UBS Financial Services Inc. January 2013 - January 2014
UBS Financial Services Inc. January 2007 - December 2012
UBS PaineWebber May 2002 - December 2006
Prudential Securities January 2000 - May 2002
Education
College of the Holy Cross 1988 — 1992
BA
Eric Weninger Eric Weninger's UBS Financial Services, Inc Experience May 2007 - December 2008
Job Regional Sales Manager Hospital at Astellas Pharma
Industry Pharmaceuticals
Experience
Astellas Pharma August 2013 - Present
Astellas Pharma December 2011 - July 2013
Boston Scientific April 2009 - January 2011
UBS Financial Services Inc May 2007 - December 2008
Pfizer September 2005 - March 2007
Pfizer June 2003 - August 2005
USAF January 1987 - December 1993
Skills
Pharmaceutical Industry, Pharmaceutical Sales, Neurology, Cardiology, Rheumatology, Orthopedic, Market Development, Selling Skills, Sales Force Development, Sales Management, Urology, Hospitals, Managed Care, Product Launch, Account Management, Biotechnology, Medical Devices, Capital Equipment, Sales Operations, Marketing Strategy, Selling, Critical Care, Nuclear Medicine, Pain Management, Infectious Diseases, Sales, Hospital Sales, Gastroenterology, Sales Effectiveness, Surgery
Education
Embry-Riddle Aeronautical University 1989 — 1995
MBA, Aviation Management
East Carolina University 1983 — 1987
BA, Political Science
Astellas Pharma August 2013 - Present
Astellas Pharma December 2011 - July 2013
Boston Scientific April 2009 - January 2011
UBS Financial Services Inc May 2007 - December 2008
Pfizer September 2005 - March 2007
Pfizer June 2003 - August 2005
USAF January 1987 - December 1993
Skills
Pharmaceutical Industry, Pharmaceutical Sales, Neurology, Cardiology, Rheumatology, Orthopedic, Market Development, Selling Skills, Sales Force Development, Sales Management, Urology, Hospitals, Managed Care, Product Launch, Account Management, Biotechnology, Medical Devices, Capital Equipment, Sales Operations, Marketing Strategy, Selling, Critical Care, Nuclear Medicine, Pain Management, Infectious Diseases, Sales, Hospital Sales, Gastroenterology, Sales Effectiveness, Surgery
Education
Embry-Riddle Aeronautical University 1989 — 1995
MBA, Aviation Management
East Carolina University 1983 — 1987
BA, Political Science
Jacob Niggemann Jacob Niggemann's UBS Financial Services, Inc Experience February 2009 - Present
Job Senior Wealth Strategy Associate with Omni Wealth Management Group at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. February 2009 - Present
Merrill Lynch October 2008 - February 2009
Merrill Lynch July 2003 - September 2008
Education
DePaul University - Charles H. Kellstadt Graduate School of Business
Certifcate in Advanced Portfolio Management
Northern Illinois University 1999 — 2003
Bachelor of Science, Finance
UBS Financial Services Inc. February 2009 - Present
Merrill Lynch October 2008 - February 2009
Merrill Lynch July 2003 - September 2008
Education
DePaul University - Charles H. Kellstadt Graduate School of Business
Certifcate in Advanced Portfolio Management
Northern Illinois University 1999 — 2003
Bachelor of Science, Finance
Jake Kinney Jake Kinney's UBS Financial Services, Inc Experience September 2010 - January 2011
Job Analyst at TRC Advisory
Industry Management Consulting
Experience
TRC Advisory September 2015 - Present
Avondale Strategic Partners October 2013 - September 2015
Citadel LLC July 2013 - September 2013
HBR Consulting LLC August 2011 - June 2013
Morgan Stanley Smith Barney February 2011 - May 2011
Honor Flight Chicago January 2011 - March 2011
UBS Financial Services Inc September 2010 - January 2011
Skills
Equities, Investments, Mutual Funds, Financial Analysis, Financial Modeling, Business Analysis, Data Analysis, Financial Reporting, Analysis, Risk Management, Microsoft Excel, Process Improvement, PowerPoint, Microsoft Office, Accounting, Management, Finance, Business Strategy, Private Equity, Business Valuation
Education
DePaul University 2007 — 2011
BA, Finance, Management, Cum Laude
Duluth East 2003 — 2007
TRC Advisory September 2015 - Present
Avondale Strategic Partners October 2013 - September 2015
Citadel LLC July 2013 - September 2013
HBR Consulting LLC August 2011 - June 2013
Morgan Stanley Smith Barney February 2011 - May 2011
Honor Flight Chicago January 2011 - March 2011
UBS Financial Services Inc September 2010 - January 2011
Skills
Equities, Investments, Mutual Funds, Financial Analysis, Financial Modeling, Business Analysis, Data Analysis, Financial Reporting, Analysis, Risk Management, Microsoft Excel, Process Improvement, PowerPoint, Microsoft Office, Accounting, Management, Finance, Business Strategy, Private Equity, Business Valuation
Education
DePaul University 2007 — 2011
BA, Finance, Management, Cum Laude
Duluth East 2003 — 2007
C. John Chen, CIMA, CRPS, MBA C. John Chen, CIMA, CRPS, MBA's UBS Financial Services, Inc Experience August 2004 - November 2014
Job Associate Vice President Investments at Wells Fargo Advisors LLC
Industry Financial Services
Experience
Wells Fargo Advisors, LLC November 2014 - Present
UBS FINANCIAL SERVICES INC. August 2004 - November 2014
PRUDENTIAL SECURITIES/ WACHOVIA SECURITIES May 1996 - August 2004
Education
Duke University - The Fuqua School of Business 2003 — 2005
MBA, Finance
Duke University 1992 — 1996
Bachelor of Science, Psychology, Economics
George Walton High School
Wells Fargo Advisors, LLC November 2014 - Present
UBS FINANCIAL SERVICES INC. August 2004 - November 2014
PRUDENTIAL SECURITIES/ WACHOVIA SECURITIES May 1996 - August 2004
Education
Duke University - The Fuqua School of Business 2003 — 2005
MBA, Finance
Duke University 1992 — 1996
Bachelor of Science, Psychology, Economics
George Walton High School
Amy Noel Oman Amy Noel Oman's UBS Financial Services, Inc Experience November 2007 - May 2008
Job Marketing Director Event Planner | Sales | Corporate Events | Social Media | Event Production | Branding | Leadership
Industry Marketing and Advertising
Experience
Cavalli Club, Restaurant & Lounge January 2015 - Present
Corporate Marketing Event Planning Leaders 2015 - Present
Baoli Miami March 2014 - February 2015
Truluck's Seafood, Steak and Crab House, Miami Ft. Lauderdale Boca Raton April 2011 - March 2014
Lucky Strike Lanes March 2010 - April 2011
Dreamcatcher Charters and the Keys to Key West May 2008 - March 2010
UBS Financial Services Inc November 2007 - May 2008
UBS Financial Services Inc July 2006 - November 2007
Morgan Stanley January 2006 - July 2006
Best Cruises Inc October 2003 - January 2006
Skills
Event Management, Marketing, Sales, Public Relations, Customer Service, Advertising, Management, Marketing Strategy, Leadership, Social Networking, Hotels, Hospitality Industry, Microsoft Office, Sales Management, New Business Development, Catering, Newsletters, CRM, Direct Marketing, Customer Relations, Negotiation, Database Administration, Open Table, Administration, Caterease, System Administration, Reserve, Hotschedules, OpenTable, Aloha, Event Planning, Special Events, Events Coordination, Event Production, Corporate Events, Social Events, Non-Profit Events, Marketing Events, Social Media, Social Media Marketing, Online Marketing, Team Building, Client Relations, Branding, Trade Shows, Hospitality, Training, Food & Beverage, Hospitality Management, Marketing Communications
Education
DeVry University 2001 — 2006
BS Business Information Systems, Business
February 2006DeVry UniversityNorth
B.S, Business Administration; Business Information Systems
October 2003DeVry UniversityNorth
A.A.S, Business Administration; Business Information Systems
Cavalli Club, Restaurant & Lounge January 2015 - Present
Corporate Marketing Event Planning Leaders 2015 - Present
Baoli Miami March 2014 - February 2015
Truluck's Seafood, Steak and Crab House, Miami Ft. Lauderdale Boca Raton April 2011 - March 2014
Lucky Strike Lanes March 2010 - April 2011
Dreamcatcher Charters and the Keys to Key West May 2008 - March 2010
UBS Financial Services Inc November 2007 - May 2008
UBS Financial Services Inc July 2006 - November 2007
Morgan Stanley January 2006 - July 2006
Best Cruises Inc October 2003 - January 2006
Skills
Event Management, Marketing, Sales, Public Relations, Customer Service, Advertising, Management, Marketing Strategy, Leadership, Social Networking, Hotels, Hospitality Industry, Microsoft Office, Sales Management, New Business Development, Catering, Newsletters, CRM, Direct Marketing, Customer Relations, Negotiation, Database Administration, Open Table, Administration, Caterease, System Administration, Reserve, Hotschedules, OpenTable, Aloha, Event Planning, Special Events, Events Coordination, Event Production, Corporate Events, Social Events, Non-Profit Events, Marketing Events, Social Media, Social Media Marketing, Online Marketing, Team Building, Client Relations, Branding, Trade Shows, Hospitality, Training, Food & Beverage, Hospitality Management, Marketing Communications
Education
DeVry University 2001 — 2006
BS Business Information Systems, Business
February 2006DeVry UniversityNorth
B.S, Business Administration; Business Information Systems
October 2003DeVry UniversityNorth
A.A.S, Business Administration; Business Information Systems
Amanda Broughton Amanda Broughton's UBS Financial Services, Inc Experience 2008 - Present
Job Team Administrator at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. 2008 - Present
Merrill Lynch November 2003 - November 2008
AmeriCorps Alums January 2000 - August 2003
Education
East Tennessee State University 1996 — 2000
BFA, Photography
UBS Financial Services Inc. 2008 - Present
Merrill Lynch November 2003 - November 2008
AmeriCorps Alums January 2000 - August 2003
Education
East Tennessee State University 1996 — 2000
BFA, Photography
Brianna Mirtich Brianna Mirtich's UBS Financial Services, Inc Experience January 2013 - April 2013
Job Staff Accountant Coordinator at Clear Channel Outdoor
Industry Financial Services
Experience
Clear Channel Outdoor 2015 - Present
Lineweaver Financial Group, Inc. February 2015 - May 2015
UBS Finacial Services, INC. April 2013 - January 2015
UBS Financial Services INC January 2013 - April 2013
PNC February 2012 - April 2013
Best Buy November 2009 - February 2012
Education
Cuyahoga Community College
Associate's Degree
Strongsville High School
Clear Channel Outdoor 2015 - Present
Lineweaver Financial Group, Inc. February 2015 - May 2015
UBS Finacial Services, INC. April 2013 - January 2015
UBS Financial Services INC January 2013 - April 2013
PNC February 2012 - April 2013
Best Buy November 2009 - February 2012
Education
Cuyahoga Community College
Associate's Degree
Strongsville High School
Steven Cox, CFP® Steven Cox, CFP®'s UBS Financial Services, Inc Experience September 2006 - Present
Job Account Vice President at UBS Financial Services Inc
Industry Financial Services
Experience
UBS Financial Services Inc. September 2006 - Present
Education
College for Financial Planning 2008 — 2011
Masters, Personal Financial Planning
University of Utah - David Eccles School of Business 2002 — 2006
Business Administration, Finance, Marketing
UBS Financial Services Inc. September 2006 - Present
Education
College for Financial Planning 2008 — 2011
Masters, Personal Financial Planning
University of Utah - David Eccles School of Business 2002 — 2006
Business Administration, Finance, Marketing
Doug Purcell Doug Purcell's UBS Financial Services, Inc Experience July 2005 - September 2011
Job Director Investments at Oppenheimer & Co. Inc.
Industry Financial Services
Experience
Oppenheimer & Co. Inc. October 2011 - Present
UBS Financial Services Inc. July 2005 - September 2011
Skills
Financial Services, Insurance, 401(k) Rollovers, Asset Allocation, Retirement Savings, Tax-Efficient Stategies, Wealth Management...
Education
DePaul University College of Law
J.D.
University of Illinois at Urbana-Champaign
B.S., Finance
Oppenheimer & Co. Inc. October 2011 - Present
UBS Financial Services Inc. July 2005 - September 2011
Skills
Financial Services, Insurance, 401(k) Rollovers, Asset Allocation, Retirement Savings, Tax-Efficient Stategies, Wealth Management...
Education
DePaul University College of Law
J.D.
University of Illinois at Urbana-Champaign
B.S., Finance
Stephen LaFata Stephen LaFata's UBS Financial Services, Inc Experience July 2007 - June 2009
Job COO/CCO at Alethea Capital Management, LLC
Industry Financial Services
Experience
Alethea Capital Management, LLC May 2011 - Present
CHARLES SCHWAB & CO., INC June 2010 - August 2010
UBS FINANCIAL SERVICES INC July 2007 - June 2009
LEHMAN BROTHERS INC May 2006 - July 2006
Skills
Fixed Income, Investments, Hedge Funds, Mutual Funds, Wealth Management, Start-ups, Business Strategy, Strategy, Strategic Financial..., Competitive Analysis, Leadership, Financial Advisory, Bonds, Management, Financial Modeling, Trading, Valuation, Equities, Private Equity, Financial Analysis, Finance, Due Diligence, Portfolio Management, Asset Management
Education
University of Pennsylvania - The Wharton School 2009 — 2011
MBA, Management
Duke University 2003 — 2007
Bachelor of Science; B.A, Economics; Math
Alethea Capital Management, LLC May 2011 - Present
CHARLES SCHWAB & CO., INC June 2010 - August 2010
UBS FINANCIAL SERVICES INC July 2007 - June 2009
LEHMAN BROTHERS INC May 2006 - July 2006
Skills
Fixed Income, Investments, Hedge Funds, Mutual Funds, Wealth Management, Start-ups, Business Strategy, Strategy, Strategic Financial..., Competitive Analysis, Leadership, Financial Advisory, Bonds, Management, Financial Modeling, Trading, Valuation, Equities, Private Equity, Financial Analysis, Finance, Due Diligence, Portfolio Management, Asset Management
Education
University of Pennsylvania - The Wharton School 2009 — 2011
MBA, Management
Duke University 2003 — 2007
Bachelor of Science; B.A, Economics; Math
Clark Smith Clark Smith's UBS Financial Services, Inc Experience August 2009 - December 2012
Job Senior VP, SunTrust Bank
Industry Financial Services
Experience
SunTrust August 2015 - Present
UBS Wealth Management January 2013 - July 2015
UBS Financial Services Inc August 2009 - December 2012
UBS Financial Services Inc October 2007 - July 2009
UBS Financial Services, Inc July 2005 - September 2007
Wachovia Securities January 2003 - May 2004
Prudential Securities April 2000 - January 2003
Prudential Securities December 1998 - April 2000
U.S. Naval Reserves December 1994 - May 1999
Prudential Securities August 1994 - December 1998
Skills
Leadership, Sales Management, Recruiting, Wealth Management, Financial Advisory, Life Insurance, Annuity Sales, Coaching, Training, Management, Leadership Development, Investment Strategies, Series 8, Series 7, Series 63, Series 65
Education
Cornell University 1984 — 1988
BA, Government, Economics, German
Oley Valley High School 1980 — 1984
Diploma
SunTrust August 2015 - Present
UBS Wealth Management January 2013 - July 2015
UBS Financial Services Inc August 2009 - December 2012
UBS Financial Services Inc October 2007 - July 2009
UBS Financial Services, Inc July 2005 - September 2007
Wachovia Securities January 2003 - May 2004
Prudential Securities April 2000 - January 2003
Prudential Securities December 1998 - April 2000
U.S. Naval Reserves December 1994 - May 1999
Prudential Securities August 1994 - December 1998
Skills
Leadership, Sales Management, Recruiting, Wealth Management, Financial Advisory, Life Insurance, Annuity Sales, Coaching, Training, Management, Leadership Development, Investment Strategies, Series 8, Series 7, Series 63, Series 65
Education
Cornell University 1984 — 1988
BA, Government, Economics, German
Oley Valley High School 1980 — 1984
Diploma
Billy Schroeder Billy Schroeder's UBS Financial Services, Inc Experience May 2011 - August 2011
Job Business Analyst at Robinson Group Consulting Inc.
Industry Management Consulting
Experience
Robinson Group Consulting Inc. October 2012 - Present
UBS Financial Services, Inc May 2011 - August 2011
Office of Senator Richard J. Durbin May 2010 - August 2010
creative werks, llc July 2009 - August 2009
Chicago Airport Resource Enterprises March 2008 - May 2008
Skills
Microsoft Office, Apple, Policy, Spanish, SPSS, Financial Analysis, PowerPoint, Data Analysis, Research, Investments, Microsoft Excel, Public Speaking, Economics, Mandarin, Microsoft Word, Stata, Policy Analysis, Public Policy, Event Planning, Facebook, Social Media, Legal Research, Critical Thinking
Education
Dickinson College 2008 — 2012
Bachelor of Arts, Policy Management, Political Science
Universidad de Salamanca 2009 — 2009
New Trier Township High School 2004 — 2008
Dali University 2007 — 2007
Robinson Group Consulting Inc. October 2012 - Present
UBS Financial Services, Inc May 2011 - August 2011
Office of Senator Richard J. Durbin May 2010 - August 2010
creative werks, llc July 2009 - August 2009
Chicago Airport Resource Enterprises March 2008 - May 2008
Skills
Microsoft Office, Apple, Policy, Spanish, SPSS, Financial Analysis, PowerPoint, Data Analysis, Research, Investments, Microsoft Excel, Public Speaking, Economics, Mandarin, Microsoft Word, Stata, Policy Analysis, Public Policy, Event Planning, Facebook, Social Media, Legal Research, Critical Thinking
Education
Dickinson College 2008 — 2012
Bachelor of Arts, Policy Management, Political Science
Universidad de Salamanca 2009 — 2009
New Trier Township High School 2004 — 2008
Dali University 2007 — 2007
Brian Young, CRPS® Brian Young, CRPS®'s UBS Financial Services, Inc Experience 2008 - Present
Job First Vice President Wealth Management | Financial Advisor at UBS
Industry Financial Services
Experience
UBS Financial Services Inc. 2008 - Present
Banc of America Investments Inc. 2006 - 2008
Bank of America 1999 - 2006
Education
San Diego State University-California State University
Bachelor of Science
San Diego State University-California State University
Certificate in Personal Financial Planning
College for Financial Planning
Professional Designation
UBS Financial Services Inc. 2008 - Present
Banc of America Investments Inc. 2006 - 2008
Bank of America 1999 - 2006
Education
San Diego State University-California State University
Bachelor of Science
San Diego State University-California State University
Certificate in Personal Financial Planning
College for Financial Planning
Professional Designation
Kristin Brandli Printon's UBS Financial Services, Inc Experience 2009 - 2011
Job Partner & Financial Consultant | Comprehensive Financial Strategies | Wealth Management
Industry Financial Services
Experience
Moxie Wealth Management July 2015 - Present
North Star Resource Group September 2011 - Present
North Star Resource Group 2011 - Present
UBS Financial Services Inc 2009 - 2011
Skills
Independent Financial..., Wealth Accumulation, Financial Coaching, Financial Advisory, Wealth Management, Strategic Planning, Risk Management, Portfolio Management, Life Insurance, Disability Insurance, Securities, Financial Services, Financial Planning, Financial Analysis, Conference Speaking, Educational Workshops, Life, Accident & Health..., Team Leadership, Series 7, Series 66
Education
Colorado State University
Bachelors, Business Administration, Financial Planning
University of Melbourne
Commerce Study Abroad Student
Moxie Wealth Management July 2015 - Present
North Star Resource Group September 2011 - Present
North Star Resource Group 2011 - Present
UBS Financial Services Inc 2009 - 2011
Skills
Independent Financial..., Wealth Accumulation, Financial Coaching, Financial Advisory, Wealth Management, Strategic Planning, Risk Management, Portfolio Management, Life Insurance, Disability Insurance, Securities, Financial Services, Financial Planning, Financial Analysis, Conference Speaking, Educational Workshops, Life, Accident & Health..., Team Leadership, Series 7, Series 66
Education
Colorado State University
Bachelors, Business Administration, Financial Planning
University of Melbourne
Commerce Study Abroad Student
Marc Goulah's UBS Financial Services, Inc Experience November 2009 - March 2011
Job GCB/BB & RS Sales Performance Manager at Bank of America
Industry Financial Services
Experience
Bank of America April 2014 - Present
Bank of America September 2012 - April 2014
Bank of America April 2011 - September 2012
UBS Financial Services Inc. November 2009 - March 2011
Skills
Series 7, Series 66, Series 9, Series 10, Chartered Retirement..., Retirement, FINRA, Uniform Combined State..., Series 63, Mutual Funds, Wealth Management, Investment Advisory, 401k, Strategy
Education
NYU Stern School of Business 2013 — 2016
Master of Business Administration (MBA)
East Carolina University - College of Business 2006 — 2009
Bachelor of Science, Marketing
Johnson and Wales University 2004 — 2006
Associate in Applied Science, Culinary Arts
Bank of America April 2014 - Present
Bank of America September 2012 - April 2014
Bank of America April 2011 - September 2012
UBS Financial Services Inc. November 2009 - March 2011
Skills
Series 7, Series 66, Series 9, Series 10, Chartered Retirement..., Retirement, FINRA, Uniform Combined State..., Series 63, Mutual Funds, Wealth Management, Investment Advisory, 401k, Strategy
Education
NYU Stern School of Business 2013 — 2016
Master of Business Administration (MBA)
East Carolina University - College of Business 2006 — 2009
Bachelor of Science, Marketing
Johnson and Wales University 2004 — 2006
Associate in Applied Science, Culinary Arts
Kelly Nocher Riepe, CFP® Kelly Nocher Riepe, CFP®'s UBS Financial Services, Inc Experience May 2011 - Present
Job Financial Advisor at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. May 2011 - Present
Feats Inc. July 2010 - December 2010
Kenan-Flagler Business School July 2008 - May 2010
Bank of America June 2009 - August 2009
Bandwidth.com May 2009 - June 2009
Credit Suisse Private Bank April 2007 - October 2007
Smith Barney Brokerage Firm December 2005 - April 2007
Education
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 2008 — 2010
MBA, General Management
The Tuck School of Business at Dartmouth 2005 — 2005
n/a, Business Bridge Program
Dickinson College 2002 — 2005
BA, Policy Studies, Political Science
St. Paul's School for Girls 1997 — 2001
UBS Financial Services Inc. May 2011 - Present
Feats Inc. July 2010 - December 2010
Kenan-Flagler Business School July 2008 - May 2010
Bank of America June 2009 - August 2009
Bandwidth.com May 2009 - June 2009
Credit Suisse Private Bank April 2007 - October 2007
Smith Barney Brokerage Firm December 2005 - April 2007
Education
University of North Carolina at Chapel Hill - Kenan-Flagler Business School 2008 — 2010
MBA, General Management
The Tuck School of Business at Dartmouth 2005 — 2005
n/a, Business Bridge Program
Dickinson College 2002 — 2005
BA, Policy Studies, Political Science
St. Paul's School for Girls 1997 — 2001
David Prange David Prange's UBS Financial Services, Inc Experience May 2009 - April 2011
Job Consultant at Lot No.2
Industry Retail
Experience
Lot No.2 October 2014 - Present
Peshtigo Finance, LLC June 2011 - Present
UBS Financial Services, Inc May 2009 - April 2011
Shopgirl, LLC April 2002 - April 2008
Skills
Fixed Income, Finance, Loans, Strategic Financial..., Investments, Management, Portfolio Management, Alternative Investments, Equities, Asset Allocation, Marketing, Leadership, Strategic Planning, Wealth Management, Marketing Strategy, Hedge Funds, Sales, Asset Management
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1993 — 1995
MBA, Finance, General
University of Iowa
Bachelor of Arts (BA)
Lot No.2 October 2014 - Present
Peshtigo Finance, LLC June 2011 - Present
UBS Financial Services, Inc May 2009 - April 2011
Shopgirl, LLC April 2002 - April 2008
Skills
Fixed Income, Finance, Loans, Strategic Financial..., Investments, Management, Portfolio Management, Alternative Investments, Equities, Asset Allocation, Marketing, Leadership, Strategic Planning, Wealth Management, Marketing Strategy, Hedge Funds, Sales, Asset Management
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1993 — 1995
MBA, Finance, General
University of Iowa
Bachelor of Arts (BA)
Robert Bob Foersterling Robert Bob Foersterling's UBS Financial Services, Inc Experience January 2009 - Present
Job Senior Vice President Investments at UBS Financial Services, Inc
Industry Financial Services
Experience
UBS Financial Services, Inc January 2009 - Present
UBS January 2009 - Present
Morgan Stanley September 1994 - January 2009
Education
Wharton School of Business 1998 — 1998
Certified Investment Management Analyst
Drake University 1963 — 1968
B.S., Business/Economics
UBS Financial Services, Inc January 2009 - Present
UBS January 2009 - Present
Morgan Stanley September 1994 - January 2009
Education
Wharton School of Business 1998 — 1998
Certified Investment Management Analyst
Drake University 1963 — 1968
B.S., Business/Economics
Bridget Erickson Bridget Erickson's UBS Financial Services, Inc Experience October 2009 - June 2010
Job Business Development Intern at HighTower Advisors LLC
Industry Higher Education
Experience
HighTower Advisors LLC June 2011 - Present
Self Employed January 2000 - Present
GNC September 2007 - February 2011
UBS Financial Services Inc October 2009 - June 2010
Education
DePaul University 2007 — 2011
Bachelor of Science; Commerce, Finance
HighTower Advisors LLC June 2011 - Present
Self Employed January 2000 - Present
GNC September 2007 - February 2011
UBS Financial Services Inc October 2009 - June 2010
Education
DePaul University 2007 — 2011
Bachelor of Science; Commerce, Finance
Richard Hasse Richard Hasse's UBS Financial Services, Inc Experience January 2008 - April 2009
Job IT Program Manager at Atkore International
Industry Information Technology and Services
Experience
Atkore International March 2012 - Present
Resources Global Professionals January 2011 - March 2012
State Farm Insurance, Edmond OK January 2010 - April 2010
MassMutual Financial Group April 2009 - December 2009
UBS Financial Services, Inc January 2008 - April 2009
Geneva Management Co. January 2006 - January 2008
Richard Hasse IT Consulting February 2002 - December 2005
Foodbrands America, Inc. March 2000 - October 2001
Alliant Foodservice, Inc. January 1998 - March 2000
Alliant Foodservice January 1997 - January 1998
Skills
Process Improvement, Business Analysis, Training, Project Portfolio..., Portfolio Management, Financial Services, Customer Service, Business Process..., Leadership, Enterprise Software, Vendor Management, Account Management, IT Strategy, Business Process..., Strategic Planning, PMO, Governance, Sales, CRM, Budgets
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1979 — 1981
MBA, International Business
Project Management Institute 2004 — 2004
PMP, Project Management
Northern Illinois University 1968 — 1972
B.S., Finance
Financial Industry Regulatory Authority (FINRA) 2008 — 2008
Series 7 & 66, Securities
Atkore International March 2012 - Present
Resources Global Professionals January 2011 - March 2012
State Farm Insurance, Edmond OK January 2010 - April 2010
MassMutual Financial Group April 2009 - December 2009
UBS Financial Services, Inc January 2008 - April 2009
Geneva Management Co. January 2006 - January 2008
Richard Hasse IT Consulting February 2002 - December 2005
Foodbrands America, Inc. March 2000 - October 2001
Alliant Foodservice, Inc. January 1998 - March 2000
Alliant Foodservice January 1997 - January 1998
Skills
Process Improvement, Business Analysis, Training, Project Portfolio..., Portfolio Management, Financial Services, Customer Service, Business Process..., Leadership, Enterprise Software, Vendor Management, Account Management, IT Strategy, Business Process..., Strategic Planning, PMO, Governance, Sales, CRM, Budgets
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 1979 — 1981
MBA, International Business
Project Management Institute 2004 — 2004
PMP, Project Management
Northern Illinois University 1968 — 1972
B.S., Finance
Financial Industry Regulatory Authority (FINRA) 2008 — 2008
Series 7 & 66, Securities
William Einstein, CRPC®'s UBS Financial Services, Inc Experience February 2012 - May 2012
Job Financial Advisor at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS August 2014 - Present
New Haven Open at Yale August 2013 - August 2013
UBS Wealth Management June 2013 - August 2013
UBS Financial Services Inc. February 2012 - May 2012
Education
Connecticut College 2010 — 2014
Bachelor of Science (BS), Economics
London School of Economics and Political Science
Summer Program, Leadership, Globalization, & Entrepreneurship
The Taft School 2006 — 2010
UBS August 2014 - Present
New Haven Open at Yale August 2013 - August 2013
UBS Wealth Management June 2013 - August 2013
UBS Financial Services Inc. February 2012 - May 2012
Education
Connecticut College 2010 — 2014
Bachelor of Science (BS), Economics
London School of Economics and Political Science
Summer Program, Leadership, Globalization, & Entrepreneurship
The Taft School 2006 — 2010
Tammy L.M. Weston, CFP®'s UBS Financial Services, Inc Experience July 2010 - Present
Job CERTIFIED FINANCIAL PLANNER™ at Bayside Wealth Management UBS Financial Services Inc
Industry Financial Services
Experience
UBS Financial Services Inc July 2010 - Present
Key Bank May 1994 - July 2010
Education
Thomas College 1990 — 1994
B.S., Marketing Management with minor in International Studies
College for Financial Planning
UBS Financial Services Inc July 2010 - Present
Key Bank May 1994 - July 2010
Education
Thomas College 1990 — 1994
B.S., Marketing Management with minor in International Studies
College for Financial Planning
Joshua Israileff Joshua Israileff's UBS Financial Services, Inc Experience November 2008 - June 2009
Job Vice President of Operations for ASBA USA
Industry Luxury Goods & Jewelry
Experience
ASBA USA, Inc. June 2010 - Present
Innovative Exams, LLC March 2010 - June 2010
UBS Financial Services Inc November 2008 - June 2009
Suncoast Community Athletics February 2002 - June 2006
Skills
Microsoft Office, Cold Calling, Purchasing, Non-profits, Bloomberg, Reviews, Sales Analysis, Sales, Business Communications, Market Research, Marketing, Outlook, Teamwork, Microsoft Excel, PowerPoint, Networking, Public Speaking, Customer Service, Social Networking, Analysis, Event Planning, Leadership, Marketing Strategy, Time Management, Trade Shows
Education
Gemological Institute of America 2011 — 2012
Accredited Jewelry Professional, Graduate Gemoligist
DePaul University 2007 — 2010
Bachelor, Management, Marketing, and Economics, 3.8
Rollins College 2006 — 2007
Bachelor, International Business
ASBA USA, Inc. June 2010 - Present
Innovative Exams, LLC March 2010 - June 2010
UBS Financial Services Inc November 2008 - June 2009
Suncoast Community Athletics February 2002 - June 2006
Skills
Microsoft Office, Cold Calling, Purchasing, Non-profits, Bloomberg, Reviews, Sales Analysis, Sales, Business Communications, Market Research, Marketing, Outlook, Teamwork, Microsoft Excel, PowerPoint, Networking, Public Speaking, Customer Service, Social Networking, Analysis, Event Planning, Leadership, Marketing Strategy, Time Management, Trade Shows
Education
Gemological Institute of America 2011 — 2012
Accredited Jewelry Professional, Graduate Gemoligist
DePaul University 2007 — 2010
Bachelor, Management, Marketing, and Economics, 3.8
Rollins College 2006 — 2007
Bachelor, International Business
Jason Kubica's UBS Financial Services, Inc Experience November 2008 - Present
Job Senior Vice President Wealth Management
Industry Financial Services
Experience
UBS Financial Services Inc. November 2008 - Present
Education
Columbia University in the City of New York
Master of Business Administration (MBA), Finance, General
Emory University
Bachelor of Arts (BA), Literature
Fairfield Prep
UBS Financial Services Inc. November 2008 - Present
Education
Columbia University in the City of New York
Master of Business Administration (MBA), Finance, General
Emory University
Bachelor of Arts (BA), Literature
Fairfield Prep
Pat Lucey's UBS Financial Services, Inc Experience 2006 - 2008
Job Financial Services Professional
Industry Financial Services
Experience
Leibowitz Marketing Services, Inc July 2009 - December 2012
Teen Entrepreneur Boot Camp May 2010 - August 2010
UBS Financial Services Inc 2006 - 2008
Wachovia Corp (formerly Prudential Securities) 1998 - 2005
Prudential Securities 1983 - 1998
Prudential Securities 1980 - 1983
Skills
Executive Pay, Relationship Management, Project Management, Financial Services, Equities, Entrepreneurship, Program Management, Market Research, Start-ups, Deferred Compensation, Marketing, Business Process..., Strategy, Process Improvement
Education
D'Amore-McKim School of Business at Northeastern University
MBA, Finance
Emmanuel College
BA, History
Leibowitz Marketing Services, Inc July 2009 - December 2012
Teen Entrepreneur Boot Camp May 2010 - August 2010
UBS Financial Services Inc 2006 - 2008
Wachovia Corp (formerly Prudential Securities) 1998 - 2005
Prudential Securities 1983 - 1998
Prudential Securities 1980 - 1983
Skills
Executive Pay, Relationship Management, Project Management, Financial Services, Equities, Entrepreneurship, Program Management, Market Research, Start-ups, Deferred Compensation, Marketing, Business Process..., Strategy, Process Improvement
Education
D'Amore-McKim School of Business at Northeastern University
MBA, Finance
Emmanuel College
BA, History
Liz Groeger's UBS Financial Services, Inc Experience March 2012 - March 2013
Job Vice President, Associate Complex Manager at Morgan Stanley Wealth Management
Industry Financial Services
Experience
Morgan Stanley Wealth Management January 2015 - Present
Morgan Stanley Wealth Management April 2013 - January 2015
UBS Financial Services Inc. March 2012 - March 2013
UBS Financial Services Inc. July 2006 - March 2012
Education
Duke University 2002 — 2006
Bachelor of Arts (B.A.), Public Policy
St. Paul's School 1999 — 2002
Morgan Stanley Wealth Management January 2015 - Present
Morgan Stanley Wealth Management April 2013 - January 2015
UBS Financial Services Inc. March 2012 - March 2013
UBS Financial Services Inc. July 2006 - March 2012
Education
Duke University 2002 — 2006
Bachelor of Arts (B.A.), Public Policy
St. Paul's School 1999 — 2002
Liz Marr's UBS Financial Services, Inc Experience March 2013 - Present
Job Financial Advisor at UBS Financial Services, Inc
Industry Financial Services
Experience
UBS Financial Services, Inc March 2013 - Present
UBS Financial Services, Inc. May 2008 - March 2013
Education
Covenant College 1996 — 2000
UBS Financial Services, Inc March 2013 - Present
UBS Financial Services, Inc. May 2008 - March 2013
Education
Covenant College 1996 — 2000
Robert Hirsch's UBS Financial Services, Inc Experience August 2011 - Present
Job Vice President Investments
Industry Banking
Experience
UBS Financial Services, Inc August 2011 - Present
Merrill Lynch September 2008 - August 2011
Morgan Stanley March 2002 - September 2008
Education
Northeastern University - Graduate School of Business Administration 1999 — 2003
Accounting and Finance
UBS Financial Services, Inc August 2011 - Present
Merrill Lynch September 2008 - August 2011
Morgan Stanley March 2002 - September 2008
Education
Northeastern University - Graduate School of Business Administration 1999 — 2003
Accounting and Finance
Deven Hull's UBS Financial Services, Inc Experience July 2007 - Present
Job Vice President Wealth Management & Portfolio Manager UBS Financial Services, INC
Industry Financial Services
Experience
UBS Financial Services, INC July 2007 - Present
Skills
Strategic Planning, Finance, Marketing, Customer Service, Contract Negotiation, Marketing Strategy, Management, Leadership, Sales, Financial Analysis
Education
College of Charleston 1987 — 1991
Business Administration and Intermodal Transportation
UBS Financial Services, INC July 2007 - Present
Skills
Strategic Planning, Finance, Marketing, Customer Service, Contract Negotiation, Marketing Strategy, Management, Leadership, Sales, Financial Analysis
Education
College of Charleston 1987 — 1991
Business Administration and Intermodal Transportation
Adam Brinkley, AAMS®, ADPA®'s UBS Financial Services, Inc Experience November 2012 - Present
Job Financial Advisor at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. November 2012 - Present
Morgan Stanley Wealth Management March 2008 - November 2012
Ameriprise Financial September 2006 - March 2008
Education
College for Financial Planning 2009 — 2011
Accredited Asset Management Specialist, Accredited Domestic Partnership Advisor
University of North Carolina at Wilmington 2001 — 2005
Bachelor of Science, Business Administration, Finance
UBS Financial Services Inc. November 2012 - Present
Morgan Stanley Wealth Management March 2008 - November 2012
Ameriprise Financial September 2006 - March 2008
Education
College for Financial Planning 2009 — 2011
Accredited Asset Management Specialist, Accredited Domestic Partnership Advisor
University of North Carolina at Wilmington 2001 — 2005
Bachelor of Science, Business Administration, Finance
Christopher Balzano's UBS Financial Services, Inc Experience September 1998 - September 2000
Job E*Trade Financial Services
Industry Financial Services
Experience
E*TRADE Financial Corporation August 2015 - Present
E*TRADE Financial July 2011 - August 2015
Mellon Investor Services December 2005 - June 2011
Corporate Employee Financial Services September 2004 - December 2005
UBS Financial Services September 2000 - August 2004
UBS Financial Services Inc September 1998 - September 2000
PaineWebber Inc September 1996 - September 2000
UBS Financial Services Inc September 1996 - September 1998
Skills
Visio, Business Intelligence, Management, Leadership, Testing, Options, SQL, CRM, Networking, Quality Assurance, Technical Support, Analysis, Business Analysis
Education
County College of Morris 1991 — 1993
Degree; A.S, Hotel/Restaurant Management
The Chubb Institute 1990 — 1991
The Chubb Institute
IT Certification, IT
E*TRADE Financial Corporation August 2015 - Present
E*TRADE Financial July 2011 - August 2015
Mellon Investor Services December 2005 - June 2011
Corporate Employee Financial Services September 2004 - December 2005
UBS Financial Services September 2000 - August 2004
UBS Financial Services Inc September 1998 - September 2000
PaineWebber Inc September 1996 - September 2000
UBS Financial Services Inc September 1996 - September 1998
Skills
Visio, Business Intelligence, Management, Leadership, Testing, Options, SQL, CRM, Networking, Quality Assurance, Technical Support, Analysis, Business Analysis
Education
County College of Morris 1991 — 1993
Degree; A.S, Hotel/Restaurant Management
The Chubb Institute 1990 — 1991
The Chubb Institute
IT Certification, IT
Stephanie Freeman Cady's UBS Financial Services, Inc Experience February 2013 - Present
Job Consultant/Event Marketing at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. February 2013 - Present
UBS Financial Service Inc. August 2004 - December 2012
Merrill Lynch March 2001 - August 2004
Skills
Financial Services, Project Management, Vendor Management, Marketing Event Planning, Marketing
Education
University of Wisconsin-Madison 1994 — 1998
Bachelor of Arts (B.A.), Spanish Language and Literature
Deerfield Academy 1991 — 1994
UBS Financial Services Inc. February 2013 - Present
UBS Financial Service Inc. August 2004 - December 2012
Merrill Lynch March 2001 - August 2004
Skills
Financial Services, Project Management, Vendor Management, Marketing Event Planning, Marketing
Education
University of Wisconsin-Madison 1994 — 1998
Bachelor of Arts (B.A.), Spanish Language and Literature
Deerfield Academy 1991 — 1994
Caitlin Kelly's UBS Financial Services, Inc Experience May 2007 - October 2010
Job Senior Associate, MediaLink
Industry Marketing and Advertising
Experience
MediaLink May 2014 - Present
My Good Dog Communications September 2013 - May 2014
PubMatic May 2013 - October 2013
PubMatic February 2012 - September 2013
UBS Financial Services, Inc May 2007 - October 2010
Skills
Marketing, Social Media Marketing, Public Relations, Newsletters, Event Planning, CRM, Social Media, Blogging, Leadership, Event Management, Adobe Creative Suite, Web Marketing Strategy, Customer Service, Marketing Materials, Web Design, Branding Development, Online Advertising, Advertising, Digital Media
Education
College of Charleston
Bachelor of Science (BS), Marketing & Entrepreneurship
MediaLink May 2014 - Present
My Good Dog Communications September 2013 - May 2014
PubMatic May 2013 - October 2013
PubMatic February 2012 - September 2013
UBS Financial Services, Inc May 2007 - October 2010
Skills
Marketing, Social Media Marketing, Public Relations, Newsletters, Event Planning, CRM, Social Media, Blogging, Leadership, Event Management, Adobe Creative Suite, Web Marketing Strategy, Customer Service, Marketing Materials, Web Design, Branding Development, Online Advertising, Advertising, Digital Media
Education
College of Charleston
Bachelor of Science (BS), Marketing & Entrepreneurship
Thomas Wade's UBS Financial Services, Inc Experience September 2007 - May 2009
Job Vice President, Business Development
Industry Financial Services
Experience
Swiss Re January 2015 - Present
Swiss Re November 2011 - Present
Willis May 2009 - June 2011
UBS Financial Services Inc. September 2007 - May 2009
Prudential Financial September 2006 - August 2007
Skills
Investments, Marketing, Capital Markets, Sales, Bloomberg, Investment Banking, Equity Research, Insurance, CRM, Portfolio Management, Financial Analysis, Risk Management, Business Development, Reinsurance
Education
Colgate University
Swiss Re January 2015 - Present
Swiss Re November 2011 - Present
Willis May 2009 - June 2011
UBS Financial Services Inc. September 2007 - May 2009
Prudential Financial September 2006 - August 2007
Skills
Investments, Marketing, Capital Markets, Sales, Bloomberg, Investment Banking, Equity Research, Insurance, CRM, Portfolio Management, Financial Analysis, Risk Management, Business Development, Reinsurance
Education
Colgate University
Gary Harlap, CIMA®, CPWA®, AWMA®, CRPC®'s UBS Financial Services, Inc Experience 1998 - Present
Job Wealth Advisor, Vice PresidentWealth Management at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. 1998 - Present
UBS Financial Services Inc. 1998 - Present
Scotiabank 1997 - 1998
Skills
Wealth, Securities, Finance, Investments, Fixed Income, Strategic Financial..., Wealth Management, Alternative Investments, Portfolio Management, Asset Management, Retirement Planning, Financial Planners, Wealth Management..., Banking, Mutual Funds, Investment Advisory, Asset Allocation, Financial Advisory, Estate Planning, Financial Services, Options, Series 7, Financial Markets, Asset Managment, Retirement, Financial Analysis, Capital Markets, Investment Management, Investment Banking, Investment Strategies, High Net Worth..., Bonds
Education
The University of Chicago Booth School of Business 2009 — 2010
CPWA®, Private Wealth Management
University of Pennsylvania - The Wharton School 2008 — 2008
Certified Investment Management Analyst
College for Financial Planning 2007 — 2008
AWMA®, Accredited Wealth Management Advisor
College for Financial Planning 2006 — 2007
AAMS®, Accredited Asset Management Specialist
College for Financial Planning 2006 — 2007
CRPC®, Chartered Retirement Planning Counselor
Kaplan University 2005 — 2006
RFC®, Registered Financial Consultant, Certificate in Financial Planning, Financial Planning
Canadian Securities Institute 1997 — 1998
FCSI®, Fellow of Canadian Secirities Institute, Investment Management
Canadian Securities Institute 1997 — 1998
PDO, Partners, Directors and Senior Officers Qualifying Examination
Canadian Securities Institute 1995 — 1997
CIM®, Certified Investment Manager, Investment Management
University of Toronto - University College 1989 — 1994
Bachelor of Sciences
UBS Financial Services Inc. 1998 - Present
UBS Financial Services Inc. 1998 - Present
Scotiabank 1997 - 1998
Skills
Wealth, Securities, Finance, Investments, Fixed Income, Strategic Financial..., Wealth Management, Alternative Investments, Portfolio Management, Asset Management, Retirement Planning, Financial Planners, Wealth Management..., Banking, Mutual Funds, Investment Advisory, Asset Allocation, Financial Advisory, Estate Planning, Financial Services, Options, Series 7, Financial Markets, Asset Managment, Retirement, Financial Analysis, Capital Markets, Investment Management, Investment Banking, Investment Strategies, High Net Worth..., Bonds
Education
The University of Chicago Booth School of Business 2009 — 2010
CPWA®, Private Wealth Management
University of Pennsylvania - The Wharton School 2008 — 2008
Certified Investment Management Analyst
College for Financial Planning 2007 — 2008
AWMA®, Accredited Wealth Management Advisor
College for Financial Planning 2006 — 2007
AAMS®, Accredited Asset Management Specialist
College for Financial Planning 2006 — 2007
CRPC®, Chartered Retirement Planning Counselor
Kaplan University 2005 — 2006
RFC®, Registered Financial Consultant, Certificate in Financial Planning, Financial Planning
Canadian Securities Institute 1997 — 1998
FCSI®, Fellow of Canadian Secirities Institute, Investment Management
Canadian Securities Institute 1997 — 1998
PDO, Partners, Directors and Senior Officers Qualifying Examination
Canadian Securities Institute 1995 — 1997
CIM®, Certified Investment Manager, Investment Management
University of Toronto - University College 1989 — 1994
Bachelor of Sciences
David Fitch CFP®'s UBS Financial Services, Inc Experience 2001 - Present
Job Vice President Wealth Management
Industry Financial Services
Experience
UBS Financial Services Inc. 2001 - Present
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2008 — 2009
Master of Business Administration (MBA), Finance
Le Moyne College 1996 — 2000
BA, Political Science
UBS Financial Services Inc. 2001 - Present
Education
DePaul University - Charles H. Kellstadt Graduate School of Business 2008 — 2009
Master of Business Administration (MBA), Finance
Le Moyne College 1996 — 2000
BA, Political Science
Dave Henriquez's UBS Financial Services, Inc Experience December 2010 - Present
Job Senior Vice President Investments at UBS Financial Services Inc
Industry Financial Services
Experience
UBS Financial Services Inc. December 2010 - Present
Well Fargo Advisors, LLC February 2006 - December 2010
Morgan Stanley August 2001 - February 2006
Smith Barney July 1996 - August 2001
Education
Cornell University
BA, Economics
UBS Financial Services Inc. December 2010 - Present
Well Fargo Advisors, LLC February 2006 - December 2010
Morgan Stanley August 2001 - February 2006
Smith Barney July 1996 - August 2001
Education
Cornell University
BA, Economics
Jason Oates's UBS Financial Services, Inc Experience April 2005 - May 2009
Job Financial Advisor at Wells Fargo Advisors, LLC
Industry Financial Services
Experience
Wells Fargo Advisors, LLC October 2011 - Present
SunTrust Investment Services May 2009 - October 2011
UBS Financial Services Inc April 2005 - May 2009
South Carolina Stingrays August 1994 - April 2005
Education
College of Charleston 1994 — 2003
BA, Corporate Communications
Fox Lane High School 1988 — 1991
Wells Fargo Advisors, LLC October 2011 - Present
SunTrust Investment Services May 2009 - October 2011
UBS Financial Services Inc April 2005 - May 2009
South Carolina Stingrays August 1994 - April 2005
Education
College of Charleston 1994 — 2003
BA, Corporate Communications
Fox Lane High School 1988 — 1991
Colleen Erickson's UBS Financial Services, Inc Experience June 2010 - Present
Job Senior Registered Branch Office Administrator at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. June 2010 - Present
Morgan Stanley Smith Barney 2007 - 2009
Morgan Stanley 2006 - 2007
Morgan Stanley 2005 - 2006
Morgan Stanley 1999 - 2005
Morgan Stanley 1995 - 1999
Education
College of San Mateo 1981 — 1982
Computer programming
Moorpark College 1974 — 1976
History
UBS Financial Services Inc. June 2010 - Present
Morgan Stanley Smith Barney 2007 - 2009
Morgan Stanley 2006 - 2007
Morgan Stanley 2005 - 2006
Morgan Stanley 1999 - 2005
Morgan Stanley 1995 - 1999
Education
College of San Mateo 1981 — 1982
Computer programming
Moorpark College 1974 — 1976
History
M. C. Mollie Proctor's UBS Financial Services, Inc Experience March 2012 - Present
Job Wealth Strategy Associate at UBS Financial Services Inc
Industry Financial Services
Experience
UBS Financial Services Inc March 2012 - Present
The PrivateBank and Trust Company January 2006 - January 2012
SunTrust Bank September 1989 - September 1994
First Financial Management Company July 1988 - July 1989
Bank Earnings International January 1984 - January 1988
Home Federal Savings February 1978 - August 1981
Education
Michigan State University
Master of Business Administration (MBA), Finance
Denison University
Bachelor of Science (B.S.), Psychology
UBS Financial Services Inc March 2012 - Present
The PrivateBank and Trust Company January 2006 - January 2012
SunTrust Bank September 1989 - September 1994
First Financial Management Company July 1988 - July 1989
Bank Earnings International January 1984 - January 1988
Home Federal Savings February 1978 - August 1981
Education
Michigan State University
Master of Business Administration (MBA), Finance
Denison University
Bachelor of Science (B.S.), Psychology
Wendy Allsop's UBS Financial Services, Inc Experience September 2006 - May 2008
Job Account Performance Coordinator
Industry Facilities Services
Experience
Diebold - self-service, security and service solutions August 2012 - Present
SimplexGrinnell March 2010 - August 2012
Rapid Response Monitoring September 2008 - September 2009
UBS Financial Services, Inc September 2006 - May 2008
Thompson & Johnson Equipment Company September 2005 - July 2006
ADT Security 2002 - 2005
ADT Security January 2001 - January 2002
Telergy January 1998 - January 2001
Carrier Distribution Credit Corporation January 1994 - January 1998
CCBI January 1993 - January 1994
Skills
Scheduling, Customer Service, Inventory Management, Vendor, Purchasing, Microsoft Office, Documentation, Customer Satisfaction, Accounts Payable, Outlook, Process Scheduler, Microsoft Excel, Windows 7, Windows Vista, Organization &..., Materials Management, Software Documentation, Budgets, Team Leadership, Sales, Team Building, Management, Event Planning, PowerPoint, Marketing, Time Management, Human Resources, Payroll, Leadership, Recruiting, Sales Operations, Administrative..., Invoicing, Account Management, Data Entry, Administration, Training, Office Management, Customer Retention, Accounting, Project Management, Procurement, Event Management, Employee Relations, Process Improvement, Spreadsheets, Strategy, Operations Management, Project Planning, System Administration
Education
Columbia College 1984 — 1986
BA, Business
CCBI 1982 — 1984
AOS, Executive Secretarial
Columbia College
Bachelor of Arts (B.A.), Business Administration and Management, General
Diebold - self-service, security and service solutions August 2012 - Present
SimplexGrinnell March 2010 - August 2012
Rapid Response Monitoring September 2008 - September 2009
UBS Financial Services, Inc September 2006 - May 2008
Thompson & Johnson Equipment Company September 2005 - July 2006
ADT Security 2002 - 2005
ADT Security January 2001 - January 2002
Telergy January 1998 - January 2001
Carrier Distribution Credit Corporation January 1994 - January 1998
CCBI January 1993 - January 1994
Skills
Scheduling, Customer Service, Inventory Management, Vendor, Purchasing, Microsoft Office, Documentation, Customer Satisfaction, Accounts Payable, Outlook, Process Scheduler, Microsoft Excel, Windows 7, Windows Vista, Organization &..., Materials Management, Software Documentation, Budgets, Team Leadership, Sales, Team Building, Management, Event Planning, PowerPoint, Marketing, Time Management, Human Resources, Payroll, Leadership, Recruiting, Sales Operations, Administrative..., Invoicing, Account Management, Data Entry, Administration, Training, Office Management, Customer Retention, Accounting, Project Management, Procurement, Event Management, Employee Relations, Process Improvement, Spreadsheets, Strategy, Operations Management, Project Planning, System Administration
Education
Columbia College 1984 — 1986
BA, Business
CCBI 1982 — 1984
AOS, Executive Secretarial
Columbia College
Bachelor of Arts (B.A.), Business Administration and Management, General
DIANA SKERL's UBS Financial Services, Inc Experience August 2004 - Present
Job Senior Vice President Wealth Management and Senior Portfolio Manager at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. August 2004 - Present
Credit Suisse 2000 - 2004
Donaldson Lufkin Jenrette 1989 - 2000
Education
Columbia University - Columbia Business School 1997 — 1999
MBA, Finance
UBS Financial Services Inc. August 2004 - Present
Credit Suisse 2000 - 2004
Donaldson Lufkin Jenrette 1989 - 2000
Education
Columbia University - Columbia Business School 1997 — 1999
MBA, Finance
Larry Wielgus's UBS Financial Services, Inc Experience December 1986 - October 2008
Job Director Global Markets Client Management Unit at Societe Generale Corporate & Investment Banking
Industry Financial Services
Experience
Societe Generale Corporate & Investment Banking December 2010 - Present
LMW Consulting LLC August 2010 - May 2011
Herald National Bank January 2009 - February 2010
UBS Financial Services Inc. December 1986 - October 2008
Skills
Wealth Management, Equities, Management, Electronic Trading, Financial Services, Capital Markets, Portfolio Management, Fixed Income, Financial Markets, Securities, Derivatives, Alternative Investments, Asset Management
Education
Connecticut College 1975 — 1979
BA, Government
Societe Generale Corporate & Investment Banking December 2010 - Present
LMW Consulting LLC August 2010 - May 2011
Herald National Bank January 2009 - February 2010
UBS Financial Services Inc. December 1986 - October 2008
Skills
Wealth Management, Equities, Management, Electronic Trading, Financial Services, Capital Markets, Portfolio Management, Fixed Income, Financial Markets, Securities, Derivatives, Alternative Investments, Asset Management
Education
Connecticut College 1975 — 1979
BA, Government
Christopher G. McGehee's UBS Financial Services, Inc Experience November 2013 - Present
Job Wealth Strategist at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. November 2013 - Present
Morgan Stanley July 2007 - October 2013
Wells Fargo January 2005 - June 2007
Merrill Lynch 2004 - 2005
Advanced Marketing Concepts 2002 - 2005
Education
Concordia University-Irvine 1998 — 1999
UBS Financial Services Inc. November 2013 - Present
Morgan Stanley July 2007 - October 2013
Wells Fargo January 2005 - June 2007
Merrill Lynch 2004 - 2005
Advanced Marketing Concepts 2002 - 2005
Education
Concordia University-Irvine 1998 — 1999
Shu Zhang, CFA, CAIA's UBS Financial Services, Inc Experience May 2005 - October 2007
Job Director at Citi Private Bank
Industry Financial Services
Experience
Citi Private Bank October 2007 - Present
UBS Financial Services Inc May 2005 - October 2007
Diversified Investment Advisors January 2001 - May 2005
BARRA RogersCasey January 1997 - December 2000
Education
D'Amore-McKim School of Business at Northeastern University 1992 — 1994
MBA, Finance
Citi Private Bank October 2007 - Present
UBS Financial Services Inc May 2005 - October 2007
Diversified Investment Advisors January 2001 - May 2005
BARRA RogersCasey January 1997 - December 2000
Education
D'Amore-McKim School of Business at Northeastern University 1992 — 1994
MBA, Finance
Carolyn Silverman's UBS Financial Services, Inc Experience May 2008 - August 2008
Job Associate at K2 Advisors
Industry Financial Services
Experience
K2 Advisors April 2015 - Present
K2 Advisors April 2013 - April 2015
K2 Advisors December 2012 - April 2013
Time Inc. February 2011 - October 2012
Publishing Group of America September 2010 - February 2011
The World Resources Institute June 2009 - August 2009
UBS Financial Services, Inc May 2008 - August 2008
Education
Trinity College-Hartford 2006 — 2010
Bachelor of the Arts, History
Trinity-in-Paris 2008 — 2008
French Studies
Deerfield Academy 2003 — 2006
High School Diploma
New Canaan Country School 1997 — 2003
K2 Advisors April 2015 - Present
K2 Advisors April 2013 - April 2015
K2 Advisors December 2012 - April 2013
Time Inc. February 2011 - October 2012
Publishing Group of America September 2010 - February 2011
The World Resources Institute June 2009 - August 2009
UBS Financial Services, Inc May 2008 - August 2008
Education
Trinity College-Hartford 2006 — 2010
Bachelor of the Arts, History
Trinity-in-Paris 2008 — 2008
French Studies
Deerfield Academy 2003 — 2006
High School Diploma
New Canaan Country School 1997 — 2003
Kristen Poggensee's UBS Financial Services, Inc Experience September 2009 - May 2010
Job Treasury Auction Associate at the Federal Reserve Bank of New York
Industry Banking
Experience
Federal Reserve Bank of New York October 2015 - Present
The Federal Reserve Bank of Chicago September 2010 - September 2015
The Federal Reserve Bank of Chicago June 2010 - August 2010
UBS Financial Services, Inc September 2009 - May 2010
The Executives' Club of Chicago June 2008 - September 2009
Skills
Microsoft Office, Financial Analysis, Leadership, Credit, Finance, Access, Event Planning, Accounting, Time Management, Analysis, Customer Service
Education
DePaul University 2006 — 2010
Bachelors of Science, Finance
Federal Reserve Bank of New York October 2015 - Present
The Federal Reserve Bank of Chicago September 2010 - September 2015
The Federal Reserve Bank of Chicago June 2010 - August 2010
UBS Financial Services, Inc September 2009 - May 2010
The Executives' Club of Chicago June 2008 - September 2009
Skills
Microsoft Office, Financial Analysis, Leadership, Credit, Finance, Access, Event Planning, Accounting, Time Management, Analysis, Customer Service
Education
DePaul University 2006 — 2010
Bachelors of Science, Finance
Bonnie Richards's UBS Financial Services, Inc Experience September 2008 - Present
Job Senior Vice President at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. September 2008 - Present
Lehman Brothers 2006 - 2008
Tax Attorney 1998 - 2006
Education
New York University School of Law
LLM, Tax Law/Taxation
Temple University - James E. Beasley School of Law
JD
Drexel University - College of Business and Administration 1987 — 1992
BS, Accounting & Finance
UBS Financial Services Inc. September 2008 - Present
Lehman Brothers 2006 - 2008
Tax Attorney 1998 - 2006
Education
New York University School of Law
LLM, Tax Law/Taxation
Temple University - James E. Beasley School of Law
JD
Drexel University - College of Business and Administration 1987 — 1992
BS, Accounting & Finance
Abiodun Omole's UBS Financial Services, Inc Experience March 2014 - May 2014
Job CCNA, CCNP, MTICP
Industry Information Technology and Services
Experience
AXIS Capital December 2014 - Present
UBS Financial Services Inc. March 2014 - May 2014
Sentry Control Systems June 2014 - 2014
SBDC North San Diego County August 2012 - December 2013
Pathfinder International December 2009 - December 2010
Aflon Computer Institute June 2003 - July 2004
National Democratic Institute (NDI) April 2003 - June 2003
Skills
Project Management, HTML, Microsoft Office, Cisco Routers, Cisco IOS, Customer Support, DNS, EIGRP, TCP/IP, Windows 7, Switches, Windows Server, Cisco Technologies, Software Documentation, VPN, Technical Support, Software Installation, Help Desk Support, Antivirus, Backup Exec, Firewalls, Windows XP, VLAN, Microsoft Exchange
Education
College of the Canyons 2011 — 2015
Bachelor's degree, Computer Systems Networking and Telecommunications
AXIS Capital December 2014 - Present
UBS Financial Services Inc. March 2014 - May 2014
Sentry Control Systems June 2014 - 2014
SBDC North San Diego County August 2012 - December 2013
Pathfinder International December 2009 - December 2010
Aflon Computer Institute June 2003 - July 2004
National Democratic Institute (NDI) April 2003 - June 2003
Skills
Project Management, HTML, Microsoft Office, Cisco Routers, Cisco IOS, Customer Support, DNS, EIGRP, TCP/IP, Windows 7, Switches, Windows Server, Cisco Technologies, Software Documentation, VPN, Technical Support, Software Installation, Help Desk Support, Antivirus, Backup Exec, Firewalls, Windows XP, VLAN, Microsoft Exchange
Education
College of the Canyons 2011 — 2015
Bachelor's degree, Computer Systems Networking and Telecommunications
Dennis Lynch's UBS Financial Services, Inc Experience December 2009 - December 2011
Job Financial Services executive with expertise in Sales Strategy, Investments, Financial Planning and Business Management.
Industry Financial Services
Experience
Waddell & Reed June 2012 - Present
UBS Financial Services Inc. December 2009 - December 2011
UBS Financial Services Inc. April 2008 - December 2009
UBS Financial Services Inc. February 2003 - April 2008
UBS Financial Services Inc. December 1999 - February 2003
UBS Financial Services Inc. January 1995 - December 1999
Kidder Peabody March 1994 - January 1995
PaineWebber Inc. April 1992 - March 1994
Wertheim Schroder & Co. Inc. November 1991 - April 1992
Ladenburg Thalmann & Co. August 1990 - November 1991
Skills
Fixed Income, Wealth Management, Capital Markets, Sales Management, Sales, Asset Allocation, Bond Markets, Portfolio Management, Investment Banking, Strategic Financial..., Alternative Investments, Bonds, Cash Management, High Yield, Municipal Bonds, Mentoring, Series 3, Series 7, Series 63, Series 66, Hedging, MBS, Finance, Investment Advisory, Electronic Trading, Banking, Investments, Uniform Combined State..., Asset Managment, Equities, Securities, FINRA, Mutual Funds, Loans, Trading, Financial Risk, Financial Advisory, Financial Services, Bloomberg, Asset Management, Investment Management, Relationship Management, Credit, ETFs, Investment Strategies, Financial Markets, Options, Retirement Planning, Financial Planning
Education
East Carolina University 1969 — 1973
Bachelor of Arts (B.A.), Urban Planning
Waddell & Reed June 2012 - Present
UBS Financial Services Inc. December 2009 - December 2011
UBS Financial Services Inc. April 2008 - December 2009
UBS Financial Services Inc. February 2003 - April 2008
UBS Financial Services Inc. December 1999 - February 2003
UBS Financial Services Inc. January 1995 - December 1999
Kidder Peabody March 1994 - January 1995
PaineWebber Inc. April 1992 - March 1994
Wertheim Schroder & Co. Inc. November 1991 - April 1992
Ladenburg Thalmann & Co. August 1990 - November 1991
Skills
Fixed Income, Wealth Management, Capital Markets, Sales Management, Sales, Asset Allocation, Bond Markets, Portfolio Management, Investment Banking, Strategic Financial..., Alternative Investments, Bonds, Cash Management, High Yield, Municipal Bonds, Mentoring, Series 3, Series 7, Series 63, Series 66, Hedging, MBS, Finance, Investment Advisory, Electronic Trading, Banking, Investments, Uniform Combined State..., Asset Managment, Equities, Securities, FINRA, Mutual Funds, Loans, Trading, Financial Risk, Financial Advisory, Financial Services, Bloomberg, Asset Management, Investment Management, Relationship Management, Credit, ETFs, Investment Strategies, Financial Markets, Options, Retirement Planning, Financial Planning
Education
East Carolina University 1969 — 1973
Bachelor of Arts (B.A.), Urban Planning
Julie Markowitz's UBS Financial Services, Inc Experience June 2008 - August 2008
Job MBA Candidate at Columbia Business School
Industry Retail
Experience
Macy's December 2011 - May 2013
Macy's August 2010 - December 2011
Soleil Securities July 2009 - July 2009
UBS Financial Services Inc. June 2008 - August 2008
Skills
Trend, Trend Analysis, Public Speaking, Retail, Merchandising, Apparel, Inventory Management, Fashion, Financial Modeling, Research, Forecasting
Education
Columbia University - Columbia Business School 2013 — 2015
University of Pennsylvania 2006 — 2010
Bachelor of Arts, Economics
Macy's December 2011 - May 2013
Macy's August 2010 - December 2011
Soleil Securities July 2009 - July 2009
UBS Financial Services Inc. June 2008 - August 2008
Skills
Trend, Trend Analysis, Public Speaking, Retail, Merchandising, Apparel, Inventory Management, Fashion, Financial Modeling, Research, Forecasting
Education
Columbia University - Columbia Business School 2013 — 2015
University of Pennsylvania 2006 — 2010
Bachelor of Arts, Economics
Ajay K. Gupta, CIMA® CRPC® CPWA®'s UBS Financial Services, Inc Experience August 2008 - October 2013
Job CEO & Chief Investment Officer
Industry Financial Services
Experience
Gupta Wealth Management October 2013 - Present
UBS Financial Services, Inc August 2008 - October 2013
Merrill Lynch September 2000 - August 2008
Merrill Lynch Canada August 1996 - September 2000
Skills
Finance, Investments, Asset Management, Alternative Investments, Wealth Management, Retirement Planning, Portfolio Management, Financial Advisory, Series 7, Asset Allocation
Education
Concordia University
Bachelor of Commerce (BCom), Economics and Finance
Harvard Business School
PEVC, Private Equity and Venture Capital
Wharton School of Business
CIMA, Certified Investment Management Analyst
Gupta Wealth Management October 2013 - Present
UBS Financial Services, Inc August 2008 - October 2013
Merrill Lynch September 2000 - August 2008
Merrill Lynch Canada August 1996 - September 2000
Skills
Finance, Investments, Asset Management, Alternative Investments, Wealth Management, Retirement Planning, Portfolio Management, Financial Advisory, Series 7, Asset Allocation
Education
Concordia University
Bachelor of Commerce (BCom), Economics and Finance
Harvard Business School
PEVC, Private Equity and Venture Capital
Wharton School of Business
CIMA, Certified Investment Management Analyst
Joseph Shumbata's UBS Financial Services, Inc Experience July 2009 - December 2014
Job Vice President at Morgan Stanley
Industry Financial Services
Experience
Morgan Stanley December 2014 - Present
UBS Financial Services Inc. July 2009 - December 2014
Education
College of the Holy Cross
Morgan Stanley December 2014 - Present
UBS Financial Services Inc. July 2009 - December 2014
Education
College of the Holy Cross
Stuart T. Rebish's UBS Financial Services, Inc Experience May 2011 - Present
Job Director, UBS Financial Services Inc.
Industry Law Practice
Experience
UBS Financial Services Inc. May 2011 - Present
Bressler, Amery & Ross, P.C. May 2008 - May 2011
Merrill Lynch, Pierce, Fenner & Smith Incorporated May 2007 - May 2008
Merrill Lynch, Pierce, Fenner & Smith Incorporated May 2004 - May 2007
US Securities and Exchange Commission September 1991 - September 1993
Education
Columbia Law School 1988 — 1991
JD, Law
Georgetown University 1984 — 1988
BA, Economics
UBS Financial Services Inc. May 2011 - Present
Bressler, Amery & Ross, P.C. May 2008 - May 2011
Merrill Lynch, Pierce, Fenner & Smith Incorporated May 2007 - May 2008
Merrill Lynch, Pierce, Fenner & Smith Incorporated May 2004 - May 2007
US Securities and Exchange Commission September 1991 - September 1993
Education
Columbia Law School 1988 — 1991
JD, Law
Georgetown University 1984 — 1988
BA, Economics
Sahil Gupta's UBS Financial Services, Inc Experience May 2010 - July 2010
Job PE Associate
Industry Venture Capital & Private Equity
Experience
Family Office August 2014 - Present
Citi July 2012 - June 2014
Citi May 2011 - August 2011
UBS Financial Services Inc May 2010 - July 2010
Ivy Gate June 2009 - March 2010
Skills
Investment Banking, Financial Modeling, Valuation, Research, Public Speaking, Data Analysis, Corporate Finance
Education
Columbia University in the City of New York 2008 — 2012
Bachelor of Arts (B.A.), Economics/Philosophy, Magna Cum Laude
King George V School (Secondary School) 2001 — 2008
A Levels
Family Office August 2014 - Present
Citi July 2012 - June 2014
Citi May 2011 - August 2011
UBS Financial Services Inc May 2010 - July 2010
Ivy Gate June 2009 - March 2010
Skills
Investment Banking, Financial Modeling, Valuation, Research, Public Speaking, Data Analysis, Corporate Finance
Education
Columbia University in the City of New York 2008 — 2012
Bachelor of Arts (B.A.), Economics/Philosophy, Magna Cum Laude
King George V School (Secondary School) 2001 — 2008
A Levels
Kevin Elmore's UBS Financial Services, Inc Experience January 2015 - Present
Job Wealth Strategy Associate, Associate Director at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. January 2015 - Present
UBS Financial Services Inc. March 2013 - January 2015
UBS Financial Services Inc. October 2011 - March 2013
UBS Financial Services Inc. February 2011 - January 2012
UBS Financial Services Inc. December 2002 - February 2011
ING Furman Selz Asset Management May 1998 - December 2002
Morgans Hotel Group 1997 - 1998
Education
DePaul University 1991 — 1993
MM, Music Performance
Indiana University Bloomington 1985 — 1991
BM, Music Performance
UBS Financial Services Inc. January 2015 - Present
UBS Financial Services Inc. March 2013 - January 2015
UBS Financial Services Inc. October 2011 - March 2013
UBS Financial Services Inc. February 2011 - January 2012
UBS Financial Services Inc. December 2002 - February 2011
ING Furman Selz Asset Management May 1998 - December 2002
Morgans Hotel Group 1997 - 1998
Education
DePaul University 1991 — 1993
MM, Music Performance
Indiana University Bloomington 1985 — 1991
BM, Music Performance
Nicholas Plagman's UBS Financial Services, Inc Experience August 2009 - January 2010
Job Financial Services, Financial Analyst, Consultant, Supply Chain Management
Industry Financial Services
Experience
Rivet Software Student PracticumAdvanced EnergyJanuary 2010 - May 2010
UBS Financial Services Inc. August 2009 - January 2010
Skills
Investments, Excel, Customer Service, Customer Relations, Entrepreneurship, Financial Modeling, PowerPoint, Word, Financial Planning, Budgeting, Problem Solving, Analysis, Business Strategy, Financial Analysis, Valuation, Market Research, Financial Reporting, Strategic Planning, Accounting, Data Analysis, French, Business Analysis, Strategic Financial..., Finance, Strategy
Education
Colorado State University
B.S., Business Administration; Finance: Investment Analysis
Rivet Software Student PracticumAdvanced EnergyJanuary 2010 - May 2010
UBS Financial Services Inc. August 2009 - January 2010
Skills
Investments, Excel, Customer Service, Customer Relations, Entrepreneurship, Financial Modeling, PowerPoint, Word, Financial Planning, Budgeting, Problem Solving, Analysis, Business Strategy, Financial Analysis, Valuation, Market Research, Financial Reporting, Strategic Planning, Accounting, Data Analysis, French, Business Analysis, Strategic Financial..., Finance, Strategy
Education
Colorado State University
B.S., Business Administration; Finance: Investment Analysis
Sarah M. Sullivan's UBS Financial Services, Inc Experience 1983 - Present
Job Senior Vice PresidentWealth Management, Private Wealth Advisor at UBS Financial Services Inc.
Industry Financial Services
Christen Baillie's UBS Financial Services, Inc Experience June 2010 - Present
Job Registered Client Associate
Industry Financial Services
Steve Ruttenberg's UBS Financial Services, Inc Experience October 2007 - January 2008
Job Electrical Contractor Transitioning to Actuarial Science
Industry Electrical/Electronic Manufacturing
Experience
LEE ELECTRIC June 2013 - Present
Echo Global Logistics May 2012 - June 2013
L Jest Ltd June 2005 - May 2012
UBS Financial Services Inc. October 2007 - January 2008
Skills
Financial Modeling, Account Management, Logistics, Valuation, Financial Analysis, Business Process..., Microsoft Excel, Marketing, Operations Management, Microsoft Word, Microsoft Office, PowerPoint, Time Management, Strategic Planning, Analysis, Project Management, Public Speaking
Education
DePaul University 2015 — 2017
M.S. Applied Mathematics, Actuarial Science
DePaul University
Bachelor of Science, Finance
LEE ELECTRIC June 2013 - Present
Echo Global Logistics May 2012 - June 2013
L Jest Ltd June 2005 - May 2012
UBS Financial Services Inc. October 2007 - January 2008
Skills
Financial Modeling, Account Management, Logistics, Valuation, Financial Analysis, Business Process..., Microsoft Excel, Marketing, Operations Management, Microsoft Word, Microsoft Office, PowerPoint, Time Management, Strategic Planning, Analysis, Project Management, Public Speaking
Education
DePaul University 2015 — 2017
M.S. Applied Mathematics, Actuarial Science
DePaul University
Bachelor of Science, Finance
Lisa (Childress) Salyer's UBS Financial Services, Inc Experience January 2013 - Present
Job Employee at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. January 2013 - Present
Childress Inc December 2008 - January 2013
Kingsport City Schools January 2008 - December 2008
Student Worker (Equine) 2007 - 2008
PetSmart 2006 - 2007
Kingsport City Schools 2006 - 2007
Private Volleyball Lessons 2006 - 2006
Rotherwood Stables 2005 - 2005
Education
East Tennessee State University
B.S, Kinesiology, Physical Education
Union College
Educational Administration and Leadership
UBS Financial Services Inc. January 2013 - Present
Childress Inc December 2008 - January 2013
Kingsport City Schools January 2008 - December 2008
Student Worker (Equine) 2007 - 2008
PetSmart 2006 - 2007
Kingsport City Schools 2006 - 2007
Private Volleyball Lessons 2006 - 2006
Rotherwood Stables 2005 - 2005
Education
East Tennessee State University
B.S, Kinesiology, Physical Education
Union College
Educational Administration and Leadership
Claudia D. Barbera's UBS Financial Services, Inc Experience November 2009 - Present
Job Financial Advisor Integration Officer Eastern Division at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. November 2009 - Present
Education
Cornell University - Johnson Graduate School of Management 2006 — 2008
MBA, Business Administration
Manhattanville College 1975 — 1977
BA, Music and Fine Arts Major
UBS Financial Services Inc. November 2009 - Present
Education
Cornell University - Johnson Graduate School of Management 2006 — 2008
MBA, Business Administration
Manhattanville College 1975 — 1977
BA, Music and Fine Arts Major
Wayne Bartley's UBS Financial Services, Inc Experience May 2009 - August 2009
Job Messanger at Montefiore Medical Center
Industry Financial Services
Experience
Montefiore Medical Center March 2006 - Present
Enterprise Rent-A-Car September 2010 - August 2011
UBS Financial Services INC May 2009 - August 2009
Country Markets October 2004 - July 2005
Education
Cuny Baruch College 2006 — 2011
Bachelor of Business Administration (BBA), Finance
Concordia College-New York 2004 — 2006
BARUCH COLLEGENew
Bachelors of Science, Business Administration; Finance & Investing
Montefiore Medical Center March 2006 - Present
Enterprise Rent-A-Car September 2010 - August 2011
UBS Financial Services INC May 2009 - August 2009
Country Markets October 2004 - July 2005
Education
Cuny Baruch College 2006 — 2011
Bachelor of Business Administration (BBA), Finance
Concordia College-New York 2004 — 2006
BARUCH COLLEGENew
Bachelors of Science, Business Administration; Finance & Investing
Charlie Marston's UBS Financial Services, Inc Experience August 1964 - Present
Job Senior Vice President Wealth Management at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. August 1964 - Present
Skills
Investments, Portfolio Management, Banking, Finance, Financial Analysis, Risk Management, Financial Planning, Financial Services, Asset Management, Retirement Planning
Education
Denison University 1959 — 1963
Bachelor of Arts (B.A.), Economics
UBS Financial Services Inc. August 1964 - Present
Skills
Investments, Portfolio Management, Banking, Finance, Financial Analysis, Risk Management, Financial Planning, Financial Services, Asset Management, Retirement Planning
Education
Denison University 1959 — 1963
Bachelor of Arts (B.A.), Economics
Shawn Lahring's UBS Financial Services, Inc Experience February 2008 - September 2012
Job Supervisory Manager at JP Morgan Securities LLC
Industry Financial Services
Experience
JP Morgan Securities LLC September 2012 - Present
UBS Financial Services Inc. February 2008 - September 2012
NatCity Investments March 2006 - January 2008
Oppenheimer & Co. January 2005 - March 2006
Education
Davenport University
Grand Valley State University
JP Morgan Securities LLC September 2012 - Present
UBS Financial Services Inc. February 2008 - September 2012
NatCity Investments March 2006 - January 2008
Oppenheimer & Co. January 2005 - March 2006
Education
Davenport University
Grand Valley State University
Sherrine Robinson's UBS Financial Services, Inc Experience June 2005 - Present
Job Director;Taxable Fixed Income Specialist at UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. June 2005 - Present
Merrill Lynch March 2003 - June 2005
Merrill Lynch March 1993 - March 2003
Education
Cornell University
Bachelor of Arts (B.A.), History
UBS Financial Services Inc. June 2005 - Present
Merrill Lynch March 2003 - June 2005
Merrill Lynch March 1993 - March 2003
Education
Cornell University
Bachelor of Arts (B.A.), History
Charles Temel, CIMA's UBS Financial Services, Inc Experience 1999 - Present
Job Senior Vice President Wealth Management, UBS Financial Services Inc.
Industry Financial Services
Experience
UBS Financial Services Inc. 1999 - Present
Alex. Brown & Sons October 1987 - February 1999
Education
Cornell University
Bachelor of Arts (B.A.), Economics
UBS Financial Services Inc. 1999 - Present
Alex. Brown & Sons October 1987 - February 1999
Education
Cornell University
Bachelor of Arts (B.A.), Economics
Harold Finnegan's UBS Financial Services, Inc Experience 2005 - 2009
Job Doherty & Doherty LLP
Industry Law Practice
Experience
Doherty & Doherty LLP 2009 - Present
UBS Financial Services Inc. 2005 - 2009
PricewaterhouseCoopers Corporate Finance LLC 1996 - 2005
Skills
Due Diligence, Estate Planning
Education
Columbia University - Columbia Business School
M.B.A.
The University of Texas School of Law
J.D.
The University of Texas at Austin
B.S.C.E., Civil Engineering
Doherty & Doherty LLP 2009 - Present
UBS Financial Services Inc. 2005 - 2009
PricewaterhouseCoopers Corporate Finance LLC 1996 - 2005
Skills
Due Diligence, Estate Planning
Education
Columbia University - Columbia Business School
M.B.A.
The University of Texas School of Law
J.D.
The University of Texas at Austin
B.S.C.E., Civil Engineering
Brij Jairath's UBS Financial Services, Inc Experience 1966 - Present
Job Managing Director Wealth Management at UBS Financial Services, Inc.
Industry Financial Services
Experience
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. 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
Zachary Dettloff's UBS Financial Services, Inc Experience 2011 - 2014
Job
Industry Design
Experience
UBS Financial Services Inc. 2011 - 2014
Education
College of DuPage 2012 — 2014
Associate's Degree, Game Design and Development
UBS Financial Services Inc. 2011 - 2014
Education
College of DuPage 2012 — 2014
Associate's Degree, Game Design and Development
JPMorgan Chase
Goldman Sachs
J.P. Morgan
Credit Suisse
Deutsche Bank
Citigroup
JP Morgan Chase
UBS