$3.9 trillion
In invested assets globally
As of 12/31/2022
Where are you today and where do you want to be tomorrow? We recognize that a lasting relationship starts by listening and understanding your priorities and concerns. We'll work together to look at the big picture, discuss your vision for the future and help you confidently pursue your life goals.
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.
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
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
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
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
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
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
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
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
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
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
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
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
Eligibility is based on quantitative factors and is not necessarily related to the quality of the investment advice. For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures
Eligibility is based on quantitative factors and is not necessarily related to the quality of the investment advice. For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures
Are we headed for a new regime in the markets or are we going “Back to the Future”? Will we experience continued uncertainty around the Fed, inflation and market volatility or is there another view brewing on the horizon?
A discussion on the latest debt ceiling developments and inflation data with John Savercool, Head of the UBS US Office of Public Policy, Brian Rose, Senior Economist, CIO Americas, and Leslie Falconio, Head of Taxable Fixed Income Strategy, CIO Americas.
Right now, we know a strong foundation is more important to you than ever. For more than 160 years, UBS has been tested and proven resilient—serving our clients through a wide range of financial challenges and market conditions. We continue to be recognized for, and demonstrate, our strength as a leader among the biggest, and strongest, globally systemic banks.
For needs that go beyond your own—to help you improve the lives of others
What will your legacy be?
It’s never too early to plan ahead. A Legacy strategy can help you gain more control over your financial future and what you leave behind, so you can move forward with confidence.
Learn more at ubs.com/wealthway.
$3.9 trillion
In invested assets globally
As of 12/31/2022
51 countries
Our global footprint
Global leader
UBS is a world-leading wealth manager
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