Experience

Ken is a Certified Financial Planner® professional with over 30 years of experience in the financial services industry. His passion for the securities market began while earning his degree in finance, which led him to start his career at Merrill Lynch. Ken has been with UBS since 2003. Over the years, the team has grown into a seven-person group dedicated to serving a multigenerational client base.

Throughout his career, Ken has helped his clients manage their wealth through generations and across many economic cycles. He emphasizes financial planning, asset allocation, and risk management. While his primary focus is on retirement planning, he also provides guidance on insurance and estate planning strategies. Additional areas of expertise include mortgage financing, executive stock options, and securities-backed lending.

Outside of work, Ken has been active in youth sports. He was a founding board member of Stamford Youth Lacrosse, and from 1989 to 2006, coached youth hockey in Fairfield County. From 2006 to 2009, he served as president of the Celtic Hockey Club. Ken is married with two children and two grandchildren and lives in Stamford, CT. He enjoys golf, ice hockey and spending time in Florida.

Professional experience
- UBS Financial Services Inc.
- Merrill Lynch

Commitment to giving back
– Founding board member, Stamford Youth Lacrosse Association
– Coach, Mid-Fairfield Youth Hockey Association, Stamford Youth Hockey Association
– President, Celtic Hockey Club, 2006 – 2009
– Trinity Catholic Hockey Hall of Fame Club
– Stamford Youth Hockey Coach of the Year, 1994, 2007 

 With more than 20 years of experience in the financial services industry, James brings deep expertise and a client-first approach to every relationship.

 James works closely with multigenerational families, providing guidance across a broad range of wealth management needs, including customized investment solutions, tax-efficient planning, portfolio management, retirement and estate planning, cash management, tailored lending, and charitable giving. He holds the Chartered Retirement Planning CounselorSM (CRPC®) designation, reflecting his commitment to helping clients pursue financial confidence and long-term stability.

 Prior to returning to UBS in 2015, he was a founding member of the Gellman and Parker Wealth Management Group at Wells Fargo Advisors, a role he began in 2008. Earlier in his career, James was a Financial Advisor at UBS from 2004 to 2008, following his start in the industry as a Personal Banker at the Bank of New York.

 A Greenwich resident for more than 40 years, James is active in the local community and has volunteered on seven different boards since 2007. Throughout the year, he also hosts client appreciation events, including Miami Art Basel, UBS Arena events, and private client briefings.

 Outside of work, James enjoys golfing, playing ice hockey, paddle tennis, padel, traveling, and spending time with his family. James graduated from the University of Delaware’s Lerner College of Business and Economics with a degree in finance.

Professional experience
- UBS Financial Services Inc.
- Wells Fargo Advisors
- The Bank of New York

Commitment to giving back
– Chairman of admissions, board member, Greenwich Country Club (Past)
– Chairman of nominating committee, executive committee, board member, Greenwich YMCA (Past)
– Co-founder and chairman emeritus, The Greenwich Young Professional Group (Past)
– Co-chair, American Diabetes Association Gala and Patron Reception (Past)
– Coach, Greenwich High School Varsity Hockey (Past)

Eric has enjoyed over 35 years of helping his clients achieve their financial goals with an eye towards risk-adjusted performance. Prior to joining UBS, Eric was a Senior Vice President–Wealth Management with Morgan Stanley in the Greenwich office. Eric’s specialty is working with individuals and business owners, helping them to educate children, as well as plan for future events and retirement. His decades of experience and insight remain invaluable in shaping our team’s services and approach to serving our clients”

 Outside of work he has a passion for sailing—racing and cruising. Eric is a lifelong resident of Greenwich and remains there with his wife, Pam, and two daughters, Chase and Nina.

Carlos has been in the financial industry for 27 years, with 24 of those years at UBS. Carlos brings operational expertise and a solutions-oriented mindset to every client interaction. He partners closely with the client service team to manage all aspects of administration, research, and portfolio review, ensuring that every detail aligns with our standard of excellence for all clients. He is instrumental in addressing financial inquiries, implementing strategies, and supporting comprehensive planning initiatives that help clients pursue their long-term goals.

Experience
– Senior Wealth Strategy Associate, UBS Financial Services Inc.
– Registered Client Service Associate, UBS Financial Services Inc.
– Branch administrator, Advest

Life
– Has been married for eight years and has two young children, Cora and Mason
– Longtime youth soccer coach, currently coaching in Armonk and for Castleford
– Played professional soccer for the Wilmington NC Hammerheads and the NY Fever
– Named Big East Rookie of the Year as a freshman at Boston College, was First Team All-Conference for two years and won the Tom McElroy Scholarship Award

Norma has been in the financial services industry for over 20 years, including 15 years with UBS. Norma plays an integral role on our team by supporting client’s financial and investment planning, while managing the team’s day-to-day operational functions. Norma provides exceptional client service with a concierge approach by building strong relationships, understanding client needs, and delivering tailored solutions that help families and individuals achieve their financial goals.

Experience
– Senior Registered Client Service Associate, UBS Financial Services Inc.
– Compliance officer, Clark & Dodge
– Operations team member, Prudential Securities

Life
– Resides in Stamford with her spouse and two children, Christina and Michael
– Volunteer, New Covenant Center, Stamford, CT

Samantha joined UBS in June 2025 after graduating from Bucknell University with a Bachelor of Arts degree in Psychology and Economics. In her current role within the team, Samantha assists with day-to-day operations, client communication, and marketing. Samantha is eager to learn and support our client’s needs by delivering customized and exceptional service.

Experience

- Administrative Assistant, Prestige Media Inc.
- Community Outreach and Education Intern, Kids in Crisis
- Market Research Intern, New Rochelle City Hall

- Front Desk Assistant, Peak 360 Greenwich to experience 

Life
- Born and raised in Stamford, CT
- Enjoys fitness and traveling

Steven joined UBS in February 2026. In his current role on the team, Steven supports team members, helping them with research, performance reporting, managing client communications, and cash movements. He is currently working on obtaining his series 7 and series 66 licenses, further strengthening his ability to support clients and the team’s advisory work and operations.

Experience

-Senior CS Specialist, Enterprise (Indeed)

-Customer Service Representative (Philips)

-Assistant Supervisor (MLB Advanced Media)

Life

-born and currently resides in Stamford, CT

-likes to travel

-enjoys playing and watching hockey.

Education

-University of South Carolina, 2009-2013