Let's move forward. Together.

• AL
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• IL
• MA
• MD
• MI
• MN
• MT
• NC
• NH
• NJ
• NM
• NY
• OH
• PA
• RI
• SC
• TX
• UT
• WA
• WV

Larry is approaching his 40th year of providing comprehensive investment advice, service and solutions to multigenerational families, individuals, trusts and nonprofit organizations throughout the United States and globally. His objective is to develop investment strategies that are individually tailored to each client’s unique interests. He accomplishes this by focusing on client’s goals to create an appropriate financial plan, and then implementing that plan with a diversified portfolio. Larry carefully discusses the pros and cons of investments and helps clients navigate the emotional swings that can sometimes become a significant part of the investment decision-making process.

 Fortunate to work with a group of talented professionals, Larry and his team have a combined 150 years of experience and the knowledge required to service the diverse needs of their clients in a professional and timely manner.

A Greenwich resident for over 40 years, Larry has been married to Michele for 44 years and has two grown children, Holly and Larry, and two wonderful grandchildren.

 Professional experience

– Managing Director, UBS Financial Services Inc.

– Resident manager, Merrill Lynch, Greenwich, CT

– National sales manager and founder, Empire State Tax Exempt Unit Trusts, Weeden & Co.

 Credentials to build confidence

– UBS Chairman’s Circle member (one of approximately 100 advisors recognized for their leadership)

 Commitment to giving back

– Board member, The Brunswick School, Greenwich, CT

– Founding board member, Arch Street, The Greenwich Teen Center

– President, Greenwich Country Club

– Coach, youth basketball, lacrosse, baseball and soccer

 Education

– Series 7, 8 and 63 securities licenses, as well as life, health and variable annuities licenses

– M.B.A., University of Virginia–Darden School of Business

– B.A. in history, Lafayette College

• Barron's Top 1,000 Financial Advisors, 2010, 2011The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 
• Barron's Top 1,200 Financial Advisors, 2014, 2015, 2016, 2017, 2018, 2019, 2020, 2021
  The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 
• Forbes Best-in-State Wealth Management Teams, 2023The 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.

• AL
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• IL
• MA
• MD
• MI
• MN
• MT
• NC
• NH
• NJ
• NM
• NY
• OH
• PA
• RI
• SC
• TX
• UT
• VA
• WA
• WV

Ken is a Certified Financial Planner ® professional who has over 30 years of experience in the financial services industry. He developed a passion for the securities market while pursuing a college degree in finance. Upon graduation, he began his career with Merrill Lynch and in 1991 partnered with Larry Haertel in their Greenwich, CT office. In 2003, The Haertel Group joined UBS and has since grown to an eight-person team that services a multigenerational client base.

Throughout his career, Ken has helped his clients manage their wealth through many economic cycles. He emphasizes financial planning, asset allocation and risk management. His primary focus is on retirement planning, but he also provides guidance on education, insurance and estate planning. Other areas of experience 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 lives in Stamford, CT. He enjoys golf and ice hockey and is an avid New York Rangers fan.

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

Education and achievements

– Series 7, 63 and 66 securities licenses, as well as life, health, long-term care insurance and variable annuities licenses

– Certified Financial Planner ® professional

– B.S., finance, Central Connecticut State University

• Forbes Best-in-State Wealth Advisors, 2023The 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, 2023The 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.

• CERTIFIED FINANCIAL PLANNER™

• AL
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• IL
• MA
• MD
• MI
• MN
• MT
• NC
• NH
• NJ
• NM
• NY
• OH
• PA
• RI
• SC
• TX
• UT
• VA
• WA
• WV

James, who joined The Haertel Group in 2015, has been in the financial services industry for over 15 years. He works closely with multigenerational families in the areas of customized investment strategies, portfolio management, retirement and estate planning, cash management, lending and charitable giving solutions. James was recognized as one of Fairfield County’s Top 40 Under 40 in 2014 and holds the Chartered Retirement Planning Counselor designation.

Prior to joining The Haertel Group, James was a founding partner in The Gellmann and Parker Wealth Management Group of Wells Fargo Advisors in Old Greenwich, CT from 2008 to 2015 and was also a Financial Advisor with UBS in Greenwich from 2004 to 2008. Prior to joining UBS, James worked as a personal banker at The Bank of New York. He graduated from the University of Delaware’s Lerner College of Business and Economics with a degree in finance.

James is a Greenwich resident for over 38 years and is active in the local community, having volunteered on seven different boards from 2007 through today. He is an avid golfer, plays ice hockey, enjoys traveling and spending time with his family.

Professional experience

- UBS Financial Services Inc.

- Wells Fargo Advisors

- The Bank of New York

Credentials to build confidence

– Fairfield County Business Journal award: Top 40 Under 40, 2014

Commitment to giving back

– Chairman of admissions, board member, Greenwich Country Club

– Chairman of nominating committee, executive committee, board member, Greenwich YMCA

– Co-founder and chairman emeritus, The Greenwich Young Professional Group

– Board member, Greenwich Riding and Trails Association, World Health Clinics, Inc., Sound Waters

– Co-chair, American Diabetes Association Gala and Patron Reception

– Coach, Greenwich High School Varsity Hockey, summer league

Education and achievements

– Series 7, 63 and 66 securities licenses as well as life, health, long-term care insurance and variable annuities licenses

– Chartered Retirement Planning Counselor®

– B.S., finance, Lerner College of Business and Economics, University of Delaware

• Forbes Best-in-State Wealth Advisors, 2023The 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, 2023The 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.

• Chartered Retirement Planning Counselor℠
• Portfolio Manager

• AL
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• IL
• MA
• MD
• MI
• MN
• MT
• NC
• NH
• NJ
• NM
• NY
• OH
• PA
• RI
• SC
• TX
• UT
• VA
• WA
• WV

Cassandra joined UBS in June 2014 after receiving her M.B.A. from Quinnipiac University. With over seven years of experience in wealth management, she is well-versed in clients’ differing financial situations and goals. As a Certified Financial Planner ® professional, Cassandra creates and implements financial plans for our clients and their families. She understands the importance of developing a financial plan in order to align a client’s goals and assets, and to create a road map for financial success. Her in-depth understanding of each client’s entire financial picture allows us to provide a better level of service. Prior to UBS, she worked with an independent advisor, gaining experience in the financial services industry while completing her M.B.A. studies.

Experience

– Financial Advisor, UBS Financial Services Inc.

– Wealth Strategy Associate, UBS Financial Services Inc.

– Client Service Associate, UBS Financial Services Inc.

– Client service associate, Northstar Wealth Partners

Credentials

– Series 7 and 66 securities licenses

– M.B.A., finance, Quinnipiac University

– B.S., finance, Quinnipiac University

– Certified Financial Planner ® professional

Life

– Enjoys traveling to New Hampshire to visit her family, especially to Lake Winnipesaukee in summer and to the mountains for skiing in winter.

– Practices yoga and loves to bake

• Forbes Best-in-State Wealth Management Teams, 2023The 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.
• Forbes Best-in-State Wealth Management Teams, 2023The 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.

• CERTIFIED FINANCIAL PLANNER™

• CT
• FL
• NY

For the past 12 years, Carlos has been with The Haertel Group, where he has enjoyed the team environment. Carlos and the client service team work together to handle all of the administration, research and portfolio-reviewing responsibilities. With 21 years of experience in the financial services industry, Carlos helps clients with their financial inquiries and comes up with solutions to help them pursue their financial goals.

Experience

– Senior Wealth Strategy Associate, UBS Financial Services Inc.

– Registered Client Service Associate, UBS Financial Services Inc.

– Branch administrator, Advest

Credentials

– Series 7 and 66 securities licenses

– B.S., marketing, Boston College

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

• Chartered Retirement Planning Counselor℠

• CT
• FL

Norma has been in the financial services industry for over 18 years, with 10 of those years at UBS. She has held various roles in operations and compliance, and as a registered assistant. At The Haertel Group, Norma handles the team’s day-to-day operational functions and marketing. She enjoys building relationships with clients, understanding their needs and helping them find solutions.

Experience

– Registered Client Service Associate, UBS Financial Services Inc.

– Compliance officer, Clark & Dodge

– Operations team member, Prudential Securities

Credentials

– Series 7, 63 and 65 securities licenses

Life

– Resides in Stamford with her spouse and two children, Christina and Michael

– Volunteer, New Covenant Center, Stamford, CT

Ashlynn has five years of experience in financial services. She started out as an intern and knew immediately that she wanted to build a career in the industry. She looks forward to building strong client relationships, inspiring confidence and being a vital asset to the team.

Experience

– Client Service Associate, UBS Financial Services Inc.

– Client service associate, Oppenheimer & Co.

– Operations associate, Oppenheimer & Co.

Life

– Born and raised in Stamford, CT

– Loves long walks with her dog, Mia

– Enjoys playing sports, especially softball and CrossFit

– Hopes to travel more in the future