Let's move forward. Together.

• AZ
• CA
• CO
• FL
• GA
• NC
• NJ
• NY
• OK
• PA
• VA

Roger has been in the securities industry for more than 38 years and has held the Certified Financial Planner designation for more than 25 years. He also was a member of, then chaired the FA Advisory Committee, a select group of advisors that periodically met with Morgan Stanley Senior Management to offer insight and constructive criticism. Over the years, he has spoken to many groups and shared his insights on the economy, financial markets around the world, behavioral economics and the importance of Tactical Allocation and Risk Management in the design and implementation of an investment program. His investment philosophy, derived from observing and investing through several market cycles, is that protecting the principal of a clients' assets is priority one, while investing intelligently to grow their capital is also important. And, as important as a well thought out investment plan is, it is only one part of the "Wealth Management Process" that can lead to greater client success and satisfaction.

• Portfolio Manager

• CA
• FL

Wendy has over 30 years of experience in the financial services industry and has been with UBS since 2019. She currently holds her Series 7 and 66 licenses and has a long history of exceptional service to her clients. Wendy's background also includes working for private investment advisory firms in New York City and Greenwich CT which catered to High Net Worth clients, business owners and Family Foundations. Her role as the Senior Portfolio Administrator and head trader gave her the skills necessary to excel in this business and gives her the ability to provide excellent customer service. Born in New York City and then moved to Fairfield Connecticut in 2002, Wendy worked at Wells Fargo Advisors, LLC in Westport Connecticut before moving to Fort Myers, Florida in 2019 to become a permanent resident. Wendy enjoys swimming, dancing and is passionate about animal rescue.