From advice to empowerment

We’re advocates for your financial world—and your life

At CBM Wealth Management, we are an accomplished team of financial advisors who offer solutions, strategies and analysis along with the diverse experience and insight successful individuals and families need today. But beyond our knowledge and capabilities, we offer our clients what we believe is essential to our long-term relationship—advocacy.

We’re truly happy when you’ve achieved important milestones. That’s why our relationships always begin with planning—asking the right questions and helping you understand how all the pieces of your entire financial life should work together. Our conversations will help us clarify objectives, explain your cash flow needs and manage risk. Working with your other professional advisors, we can then align the right investment strategy to help you achieve your goals. Wherever you are in your life, whatever your questions, concerns or challenges, we believe our advice and advocacy can empower you to make confident decisions today and for years to come.

Start the conversation

Pursuing your goals together

Our mission is to provide quality strategies customized to your needs. Our goal is to be your primary source of financial advice. To this end, we concentrate our efforts on developing long-term relationships through a commitment to quality client service.

Lisa A. Chapman, CFP, CIMA, CRPS

Managing Director–Wealth Management

Private Wealth Advisor
View bio Industry recognition
- AK
- AL
- AR
- AZ
- CA
- CO
- CT
- FL
- GA
- HI
- IL
- MA
- MD
- MI
- MO
- MT
- NC
- NJ
- NM
- NV
- NY
- OK
- OR
- PA
- SC
- SD
- TN
- TX
- VA
- VT
- WA
- WI
Experience to guide you forward
When life changes or introduces new circumstances, finding the way forward can be challenging. But no matter how complex the objective, Lisa brings a high level of expertise to the challenges facing high net worth individuals, families, corporate retirement plans and foundations. Her deep understanding, planning and investment insight have been helping her clients determine the right path forward for more than 35 years.

Planning is the starting point for each relationship. Through her planning process, Lisa’s clients find answers to their most important questions and strategies to pursue their most important goals—from wealth accumulation and distribution to multigenerational wealth preservation and transfer. A powerful advocate for women's financial literacy, Lisa has conducted corporate seminars at a number Fortune 500 companies and been featured in various publications including The Wall Street Journal, Forbes, On Wall Street, Fortune Magazine and The Los Angeles Times.

Credentials that build confidence
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Investment Management Analyst® (CIMA®), Wharton School of the University of Pennsylvania
- Chartered Retirement Plans SpecialistSM (CRPS®)
- B.S., political science from California State University, Dominguez Hills
- Current Securities Licenses: Series 7, 66, CA Insurance License #0L63021
A commitment to giving back
For more than 15 years, Lisa has been a mentor in a local at-risk youth program (Operation Jump Start). She has worked with four young women through their graduation from the program and is actively involved in their lives today. Lisa also serves on the Board of Directors for Memorial Medical Center Foundation.

Lisa and her husband, a retired aerospace engineer, have been married for 30 years. They live in Orange County with their family dog.
- Barron's Top 1,000 Financial Advisors, 2009The Barron's rating is awarded annually in March and is based on information from the prior year Q3.
- Forbes America’s Top Women Wealth Advisors, 2017, 2018, 2019, 2020, 2021The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
- Forbes America's Top Women Wealth Advisors Best-in-State, 2020, 2021, 2022, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
- Forbes Best-in-State Wealth Advisors, 2018, 2019, 2020, 2021, 2022, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in April based on information from a 12 month period ending June of the prior year.
- Forbes Best-in-State Wealth Management Teams, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.
- Private Wealth Advisor
- CERTIFIED FINANCIAL PLANNER™
- Certified Investment Management Analyst®
- Chartered Retirement Plans Specialist℠
3030 Old Ranch Parkway
Suite 300
Seal Beach, CA 90740
Natalie Brownfield Barron, CFP, CEPA, CRPS

Senior Vice President–Wealth Management

Financial Advisor
View bio Industry recognition
- AK
- AL
- AR
- AZ
- CA
- CO
- CT
- FL
- GA
- HI
- IL
- MA
- MD
- MI
- MO
- MT
- NC
- NM
- NV
- NY
- OK
- OR
- PA
- SC
- SD
- TN
- TX
- VA
- VT
- WA
- WI
Experience to guide you forward

Natalie is a CERTIFIED FINANCIAL PLANNER™ professional and Senior Portfolio Manager. Creating strategies designed to help ensure her clients and their loved ones are financially secure for the future is one of Natalie’s greatest passions. That’s why she begins each client relationship with a customized comprehensive financial plan. It’s especially important for clients who are navigating challenging life transitions like divorce, career change, retirement and loss. But to Natalie, everyone can benefit from the decision-making advice a financial plan provides. From helping highly compensated executives manage restricted stock and stock options to small- and middle-market business owners navigating the pre- and post-sale process, Natalie and her planning insight truly make a difference in the lives of her clients. Always a collaborator, she also works with her clients’ other advisors to provide well-aligned estate planning, insurance and tax-efficient investing and withdrawal strategies.

Credentials that build confidence
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Exit Planning Advisor (CEPA)
- Chartered Retirement Plan Specialist^SM (CRPS®)
- Series 7 and 66 securities licenses
- Life and health insurance licenses
- B.A., speech communication; minor in business marketing, California State University, Long Beach
Outside of UBS

Natalie is a Group Leader for ProVisors Seal Beach. She volunteers with Memorial Care and the Memorial Medical Center Foundation.

Natalie holds FINRA Series 7 and 63 & 65 securities licenses and is a licensed California insurance agent (CA License #:OF34434).
- Forbes America’s Top Next-Gen (Generation) Wealth Advisors, 2017, 2018The Forbes rating is compiled by Shook Research and awarded annually between June and September based on information from a 12 month period ending in March of the award year.
- Forbes America’s Top Next-Gen (Generation) Wealth Advisors Best-in-State, 2018, 2019The Forbes rating is compiled by Shook Research and awarded annually between June and September based on information from a 12 month period ending in March of the award year.
- Forbes America’s Top Women Wealth Advisors, 2021The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
- Forbes America's Top Women Wealth Advisors Best-in-State, 2021, 2022, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
- Forbes Best-in-State Wealth Advisors, 2022, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in April based on information from a 12 month period ending June of the prior year.
- Forbes Best-in-State Wealth Management Teams, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.
- Working Mother Magazine/SHOOK Top Wealth Advisor Moms, 2018, 2019, 2020The Working Mother Magazine/SHOOK rating is compiled by Shook Research and awarded annually in October based on information from a 12 month period ending in March of the award year.
- Certified Exit Planning Advisor
- CERTIFIED FINANCIAL PLANNER™
- Chartered Retirement Plans Specialist℠
3030 Old Ranch Parkway
Suite 300
Seal Beach, CA 90740
Lindsay Kathleen Mais, CFP, CDFA, FPQP

Senior Vice President–Wealth Management

Financial Advisor
View bio Industry recognition
- AK
- AL
- AR
- AZ
- CA
- CO
- CT
- FL
- GA
- HI
- IL
- MA
- MD
- MI
- MO
- MT
- NC
- NM
- NV
- NY
- OK
- OR
- PA
- SC
- SD
- TN
- TX
- VA
- VT
- WA
- WI
Experience to guide you forward
Lindsay began her career in 2008, one of the toughest years ever for financial services. But the lessons she learned about managing risk and investments were invaluable.

Today, as a Certified Financial Planner™ and Certified Divorce Financial Analyst®, Lindsay’s goal is to become her clients’ financial advocate and to help with the transition into and throughout retirement. How does she do it? Through comprehensive financial planning, objective investment management, risk management and partnering with her clients’ other professional advisors, which may include CPAs, estate planning attorneys and divorce and business attorneys. By working with these other professional advisors, she can ensure a holistic, cohesive plan for her clients. As a Certified Divorce Financial Analyst®, she assists couples before, during and after the complicated and emotional divorce process. As a Corporate Stock Benefit Consultant, Lindsay helps executives manage their complex equity compensation plans so they can focus on other priorities.

Credentials that build confidence
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Divorce Financial Analyst® (CDFA®)
- Corporate Stock Benefit Consultant
- Series 7 and 66 securities licenses
- Life and disability insurance licenses (CA Insurance License #0G67418)
- B.A., mass communications, University of California, Berkeley
Making a difference
Lindsay is relentlessly committed to giving back:
- A fierce supporter of women and education, she is truly devoted to Pathways to Independence, an organization based in Orange County and Long Beach that provides young, abused women with the financial support, therapy and mentoring they need to pursue a college degree
- Lindsay is a graduate of the Leadership Long Beach Institute, which engages and challenges community leaders to discover together how to make Long Beach a better city
She enjoys family, friends and fantasy football, along with reading, musicals and golf.
- Forbes America’s Top Next-Gen (Generation) Wealth Advisors, 2017The Forbes rating is compiled by Shook Research and awarded annually between June and September based on information from a 12 month period ending in March of the award year.
- Forbes America’s Top Next-Gen (Generation) Wealth Advisors Best-in-State, 2022, 2023The Forbes rating is compiled by Shook Research and awarded annually between June and September based on information from a 12 month period ending in March of the award year.
- Forbes America's Top Women Wealth Advisors Best-in-State, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
- Forbes Best-in-State Wealth Management Teams, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.
3030 Old Ranch Parkway
Suite 300
Seal Beach, CA 90740
Shannon Appleby

Associate Director

Team Administrator
View bio
- AK
- AL
- AR
- AZ
- CA
- CO
- CT
- DC
- FL
- GA
- HI
- IA
- ID
- IL
- KS
- MA
- MD
- MI
- MN
- MO
- MT
- NC
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- SC
- SD
- TN
- TX
- UT
- VA
- VT
- WA
- WI
Shannon attended the University of California Santa Barbara and earned her degree in Business Economics. She started in the financial services industry in 1997, working in the margin department and as a Sales Assistant. She later decided that she wanted to be in management, so she started at UBS Financial Services Inc. in the Long Beach office in 2004 as Branch Service Associate and attended the UBS Leadership Management Development Program. After attending the program, she became the Assistant Operations Manager and then the Administrative Manager for the Long Beach office until 2009. She took a couple years off from working when she had twins and went back to work at Morgan Stanley where she had assisted a large team as the Senior Registered Associate responsible for all their trading and servicing clients.

Shannon lives in Long Beach with her husband and their three children. She enjoys spending time with her family and the kids' involvement in soccer and baseball keeps her very busy.

Current Securities Licenses: Series 7, 9, 10, 66, Life, Health, Accident Insurance and Variable Contracts Licenses.
3030 Old Ranch Parkway
Suite 300
Seal Beach, CA 90740
Lily Gong

Senior Client Associate
View bio
- AK
- AL
- AR
- AZ
- CA
- CO
- CT
- FL
- GA
- HI
- IL
- MA
- MD
- MI
- MO
- MT
- NC
- NJ
- NM
- NV
- NY
- OR
- PA
- SC
- SD
- TN
- TX
- VA
- VT
- WA
- WI
Lily graduated from University of California Los Angeles and earned her degree in Geography/Environmental Studies and minor in Global Studies. While at UCLA, she interned at the Los Angeles Mayor's Office helping to develop economic policies and international business relationships to boost the local economy. Lily traveled to Belize and joined a wildlife rehabilitation organization upon college graduation, aiming to educate and advise local government on developing the economy while preserving the wildlife and environment. She had the experience working with numerous non-profit organizations and realized the importance of Finance and Business Management. In 2014 Lily started working in the Financial Service industry. she was the Practice Manager of a large wealth management team then was promoted to the Operational Leader at Ameriprise Financial. Lily also worked for Morgan Stanley and Wells Fargo Advisors before moving to Long Beach.

Outside of work Lily enjoys traveling, hiking, and volunteering at animal shelters.

Current Securities Licenses: Series 7, 66, CA Insurance License #0L63021
3030 Old Ranch Parkway
Suite 300
Seal Beach, CA 90740

Lisa A. Chapman, CFP, CIMA, CRPS

Managing Director–Wealth Management

Private Wealth Advisor
View bio Industry recognition
- AK
- AL
- AR
- AZ
- CA
- CO
- CT
- FL
- GA
- HI
- IL
- MA
- MD
- MI
- MO
- MT
- NC
- NJ
- NM
- NV
- NY
- OK
- OR
- PA
- SC
- SD
- TN
- TX
- VA
- VT
- WA
- WI
Experience to guide you forward
When life changes or introduces new circumstances, finding the way forward can be challenging. But no matter how complex the objective, Lisa brings a high level of expertise to the challenges facing high net worth individuals, families, corporate retirement plans and foundations. Her deep understanding, planning and investment insight have been helping her clients determine the right path forward for more than 35 years.

Planning is the starting point for each relationship. Through her planning process, Lisa’s clients find answers to their most important questions and strategies to pursue their most important goals—from wealth accumulation and distribution to multigenerational wealth preservation and transfer. A powerful advocate for women's financial literacy, Lisa has conducted corporate seminars at a number Fortune 500 companies and been featured in various publications including The Wall Street Journal, Forbes, On Wall Street, Fortune Magazine and The Los Angeles Times.

Credentials that build confidence
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Investment Management Analyst® (CIMA®), Wharton School of the University of Pennsylvania
- Chartered Retirement Plans SpecialistSM (CRPS®)
- B.S., political science from California State University, Dominguez Hills
- Current Securities Licenses: Series 7, 66, CA Insurance License #0L63021
A commitment to giving back
For more than 15 years, Lisa has been a mentor in a local at-risk youth program (Operation Jump Start). She has worked with four young women through their graduation from the program and is actively involved in their lives today. Lisa also serves on the Board of Directors for Memorial Medical Center Foundation.

Lisa and her husband, a retired aerospace engineer, have been married for 30 years. They live in Orange County with their family dog.
- Barron's Top 1,000 Financial Advisors, 2009The Barron's rating is awarded annually in March and is based on information from the prior year Q3.
- Forbes America’s Top Women Wealth Advisors, 2017, 2018, 2019, 2020, 2021The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
- Forbes America's Top Women Wealth Advisors Best-in-State, 2020, 2021, 2022, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
- Forbes Best-in-State Wealth Advisors, 2018, 2019, 2020, 2021, 2022, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in April based on information from a 12 month period ending June of the prior year.
- Forbes Best-in-State Wealth Management Teams, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.
- Private Wealth Advisor
- CERTIFIED FINANCIAL PLANNER™
- Certified Investment Management Analyst®
- Chartered Retirement Plans Specialist℠
3030 Old Ranch Parkway
Suite 300
Seal Beach, CA 90740
Natalie Brownfield Barron, CFP, CEPA, CRPS

Senior Vice President–Wealth Management

Financial Advisor
View bio Industry recognition
- AK
- AL
- AR
- AZ
- CA
- CO
- CT
- FL
- GA
- HI
- IL
- MA
- MD
- MI
- MO
- MT
- NC
- NM
- NV
- NY
- OK
- OR
- PA
- SC
- SD
- TN
- TX
- VA
- VT
- WA
- WI
Experience to guide you forward

Natalie is a CERTIFIED FINANCIAL PLANNER™ professional and Senior Portfolio Manager. Creating strategies designed to help ensure her clients and their loved ones are financially secure for the future is one of Natalie’s greatest passions. That’s why she begins each client relationship with a customized comprehensive financial plan. It’s especially important for clients who are navigating challenging life transitions like divorce, career change, retirement and loss. But to Natalie, everyone can benefit from the decision-making advice a financial plan provides. From helping highly compensated executives manage restricted stock and stock options to small- and middle-market business owners navigating the pre- and post-sale process, Natalie and her planning insight truly make a difference in the lives of her clients. Always a collaborator, she also works with her clients’ other advisors to provide well-aligned estate planning, insurance and tax-efficient investing and withdrawal strategies.

Credentials that build confidence
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Exit Planning Advisor (CEPA)
- Chartered Retirement Plan Specialist^SM (CRPS®)
- Series 7 and 66 securities licenses
- Life and health insurance licenses
- B.A., speech communication; minor in business marketing, California State University, Long Beach
Outside of UBS

Natalie is a Group Leader for ProVisors Seal Beach. She volunteers with Memorial Care and the Memorial Medical Center Foundation.

Natalie holds FINRA Series 7 and 63 & 65 securities licenses and is a licensed California insurance agent (CA License #:OF34434).
- Forbes America’s Top Next-Gen (Generation) Wealth Advisors, 2017, 2018The Forbes rating is compiled by Shook Research and awarded annually between June and September based on information from a 12 month period ending in March of the award year.
- Forbes America’s Top Next-Gen (Generation) Wealth Advisors Best-in-State, 2018, 2019The Forbes rating is compiled by Shook Research and awarded annually between June and September based on information from a 12 month period ending in March of the award year.
- Forbes America’s Top Women Wealth Advisors, 2021The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
- Forbes America's Top Women Wealth Advisors Best-in-State, 2021, 2022, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
- Forbes Best-in-State Wealth Advisors, 2022, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in April based on information from a 12 month period ending June of the prior year.
- Forbes Best-in-State Wealth Management Teams, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.
- Working Mother Magazine/SHOOK Top Wealth Advisor Moms, 2018, 2019, 2020The Working Mother Magazine/SHOOK rating is compiled by Shook Research and awarded annually in October based on information from a 12 month period ending in March of the award year.
- Certified Exit Planning Advisor
- CERTIFIED FINANCIAL PLANNER™
- Chartered Retirement Plans Specialist℠
3030 Old Ranch Parkway
Suite 300
Seal Beach, CA 90740
Lindsay Kathleen Mais, CFP, CDFA, FPQP

Senior Vice President–Wealth Management

Financial Advisor
View bio Industry recognition
- AK
- AL
- AR
- AZ
- CA
- CO
- CT
- FL
- GA
- HI
- IL
- MA
- MD
- MI
- MO
- MT
- NC
- NM
- NV
- NY
- OK
- OR
- PA
- SC
- SD
- TN
- TX
- VA
- VT
- WA
- WI
Experience to guide you forward
Lindsay began her career in 2008, one of the toughest years ever for financial services. But the lessons she learned about managing risk and investments were invaluable.

Today, as a Certified Financial Planner™ and Certified Divorce Financial Analyst®, Lindsay’s goal is to become her clients’ financial advocate and to help with the transition into and throughout retirement. How does she do it? Through comprehensive financial planning, objective investment management, risk management and partnering with her clients’ other professional advisors, which may include CPAs, estate planning attorneys and divorce and business attorneys. By working with these other professional advisors, she can ensure a holistic, cohesive plan for her clients. As a Certified Divorce Financial Analyst®, she assists couples before, during and after the complicated and emotional divorce process. As a Corporate Stock Benefit Consultant, Lindsay helps executives manage their complex equity compensation plans so they can focus on other priorities.

Credentials that build confidence
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Divorce Financial Analyst® (CDFA®)
- Corporate Stock Benefit Consultant
- Series 7 and 66 securities licenses
- Life and disability insurance licenses (CA Insurance License #0G67418)
- B.A., mass communications, University of California, Berkeley
Making a difference
Lindsay is relentlessly committed to giving back:
- A fierce supporter of women and education, she is truly devoted to Pathways to Independence, an organization based in Orange County and Long Beach that provides young, abused women with the financial support, therapy and mentoring they need to pursue a college degree
- Lindsay is a graduate of the Leadership Long Beach Institute, which engages and challenges community leaders to discover together how to make Long Beach a better city
She enjoys family, friends and fantasy football, along with reading, musicals and golf.
- Forbes America’s Top Next-Gen (Generation) Wealth Advisors, 2017The Forbes rating is compiled by Shook Research and awarded annually between June and September based on information from a 12 month period ending in March of the award year.
- Forbes America’s Top Next-Gen (Generation) Wealth Advisors Best-in-State, 2022, 2023The Forbes rating is compiled by Shook Research and awarded annually between June and September based on information from a 12 month period ending in March of the award year.
- Forbes America's Top Women Wealth Advisors Best-in-State, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in February based on information from a 12 month period ending September of the prior year.
- Forbes Best-in-State Wealth Management Teams, 2023, 2024The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.
3030 Old Ranch Parkway
Suite 300
Seal Beach, CA 90740
Shannon Appleby

Associate Director

Team Administrator
View bio
- AK
- AL
- AR
- AZ
- CA
- CO
- CT
- DC
- FL
- GA
- HI
- IA
- ID
- IL
- KS
- MA
- MD
- MI
- MN
- MO
- MT
- NC
- NJ
- NM
- NV
- NY
- OH
- OK
- OR
- PA
- SC
- SD
- TN
- TX
- UT
- VA
- VT
- WA
- WI
Shannon attended the University of California Santa Barbara and earned her degree in Business Economics. She started in the financial services industry in 1997, working in the margin department and as a Sales Assistant. She later decided that she wanted to be in management, so she started at UBS Financial Services Inc. in the Long Beach office in 2004 as Branch Service Associate and attended the UBS Leadership Management Development Program. After attending the program, she became the Assistant Operations Manager and then the Administrative Manager for the Long Beach office until 2009. She took a couple years off from working when she had twins and went back to work at Morgan Stanley where she had assisted a large team as the Senior Registered Associate responsible for all their trading and servicing clients.

Shannon lives in Long Beach with her husband and their three children. She enjoys spending time with her family and the kids' involvement in soccer and baseball keeps her very busy.

Current Securities Licenses: Series 7, 9, 10, 66, Life, Health, Accident Insurance and Variable Contracts Licenses.
3030 Old Ranch Parkway
Suite 300
Seal Beach, CA 90740
Lily Gong

Senior Client Associate
View bio
- AK
- AL
- AR
- AZ
- CA
- CO
- CT
- FL
- GA
- HI
- IL
- MA
- MD
- MI
- MO
- MT
- NC
- NJ
- NM
- NV
- NY
- OR
- PA
- SC
- SD
- TN
- TX
- VA
- VT
- WA
- WI
Lily graduated from University of California Los Angeles and earned her degree in Geography/Environmental Studies and minor in Global Studies. While at UCLA, she interned at the Los Angeles Mayor's Office helping to develop economic policies and international business relationships to boost the local economy. Lily traveled to Belize and joined a wildlife rehabilitation organization upon college graduation, aiming to educate and advise local government on developing the economy while preserving the wildlife and environment. She had the experience working with numerous non-profit organizations and realized the importance of Finance and Business Management. In 2014 Lily started working in the Financial Service industry. she was the Practice Manager of a large wealth management team then was promoted to the Operational Leader at Ameriprise Financial. Lily also worked for Morgan Stanley and Wells Fargo Advisors before moving to Long Beach.

Outside of work Lily enjoys traveling, hiking, and volunteering at animal shelters.

Current Securities Licenses: Series 7, 66, CA Insurance License #0L63021
3030 Old Ranch Parkway
Suite 300
Seal Beach, CA 90740

Connecting you to the deep resources of UBS

By seeing the big picture, we provide access to the global platforms and the financial and intellectual strengths of UBS’s experts in Wealth Management, Asset Management and our Private and Investment Banks.

Women and wealth

Can you do it all?

If you’re like many women today, you’re not only taking care of others—your children, your parents, a partner, you’re managing a successful career. Given your many other priorities and the demands on your time, are you also taking the right financial steps to help protect what matters most?

We see our role as financial educators. The more you know about what you have and what you’ll need to reach your goals, the more successful our relationship can be. As women, we understand on a personal level the concerns you have.

For example, women live an average of five years longer than men.¹ That means it’s likely you’ll need more funding for retirement and healthcare coverage than you may have previously thought. How comfortable are you with investing? Is your portfolio structured to address risk and performance? Our conversations will focus on all of these questions, as well as a customized plan and investment strategy for moving confidently toward your goals.

_{1 Scientific American, “Why women live longer than men,” March 2015}

Corporate executive solutions

How can your equity awards help you meet your long-term goals?

If you receive a large part of your compensation in company stock or stock options, optimizing the value of your awards is key. It’s important to understand the bigger picture, and learn how equity awards can impact growing and protecting your wealth over time.

Our customized planning approach integrates your awards into a long-term strategy to help us:

Prioritize goals
Assess the right estate, insurance and charitable planning and tax strategies for your needs
Clarify the impact of cash flow
Analyze an appropriate investment allocation
Manage risk

Depending on your needs, we’ll recommend solutions for:

Diversifying concentrated positions
Managing restricted stock awards
Executing stock options
Selling privately held or public shares that are subject to Rule 144

Business transition and succession

Pass it on or sell? Is it time to step away from your business?

When you’ve invested so much time, energy and passion into building your business, stepping away from it can be one of the most difficult decisions you’ll ever make. Our early involvement in the planning process can help you make the right choices.

We understand the emotions that come with owning and growing a successful business and the concerns that often arise when you step away—whether through succession or sale. So many factors—with both short- and long-term consequences—come into play. To gain the greatest benefit, we believe you shouldn’t make a decision of this magnitude alone. Our early involvement can add significant value to your strategy. That’s why we work with you and your family throughout the decision-making process.

Our advice addresses how best to structure the transfer, as well as important estate planning considerations. If you choose to stay involved, we’ll talk about how you can do that, too. Whoever you decide to hand over the reins to, you’ll still feel in total control of your finances and your legacy.

Retirement funding

Are you saving enough?

The closer you are to retirement, the more important your planning strategy becomes. And the longer you spend in retirement, the greater the impact your decisions can have on your retirement lifestyle. We’ll help you plan and prepare for the retirement you’ve earned.

Retirement means different things to different people. For some it may be a reduced work schedule. For others, it may be a relaxed, simpler life with time to do the things they couldn’t do while working. All in all, your retirement could last 30 years or more.

This can be an exciting time for you, but also one of apprehension. Our team works with many pre-retirees, steering them down the right path with a comfortable income plan to help support a lifestyle and the pursuits they can enjoy.

Multigenerational planning

What will your child’s future hold?

You want your children to have the best opportunities in life. But they also need to understand the responsibilities that often come with their good fortune. Striking the right balance starts with the right plan. Our team is here to take you and your family through each step of that process.

We believe that when your family is financially healthy, everything else falls into place. That’s why we go the extra mile to provide each generation with the guidance they need. Our team will work with you to explore the deeper issues and dynamics of your family—how you collectively think about money, budgets, inheritance, and financial responsibility.

Our goal is to understand your values so we can then recommend the most appropriate strategies for you—from saving and investing to preserving and ultimately transferring your wealth to the people and causes that are important to you.

Philanthropy

Can your wealth make a difference in the world?

Giving back to our community and the causes we believe in couldn’t be more important for our team. Because it’s our passion, we believe we can provide you with inspired advice for clarifying your personal charitable goals and creating a strategy that aligns with your overall wealth plan.

Few decisions are as personal as those that involve a commitment to philanthropy. Whether for your community, the environment, or society, there are so many ways your wealth can make a difference. And it’s not just about how much you give, it’s also how you choose to do it. You hope to make the greatest charitable impact, as well as maximize tax benefits.

We can explore strategic philanthropic solutions that fit with your giving goals and long-term financial plan—from charitable trusts and donor- advised funds to gifting strategies and sustainable investing.

_{Neither UBS Financial Services Inc. nor any of its employees provide tax or legal advice. You should consult with your personal tax or legal advisor regarding your personal circumstances.}

Managing wealth is our craft

We’re committed to understanding what wealth means for you.

At UBS, excellence comes from nurturing the best of our heritage, mastering the details and delivering the expertise you need to turn your financial vision into a reality. The result? Financial advice that is finely crafted for what matters most to you.

Backed by the strength of UBS

A global leader in wealth management

^$5+ trillion

In invested assets globally
As of 11/07/2023

51 countries

Our global footprint

Global leader

UBS is a world-leading wealth manager

From advice to empowerment

We’re advocates for your financial world—and your life

Pursuing your goals together

Lisa A. Chapman, CFP, CIMA, CRPS

Natalie Brownfield Barron, CFP, CEPA, CRPS

Lindsay Kathleen Mais, CFP, CDFA, FPQP

Shannon Appleby

Lily Gong