Insight-based advice

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Charles has gained broad-based financial services experience during his 41-year career. Prior to joining UBS, he worked as a Financial Advisor at Kidder Peabody and Company and prior to that was with Harold C. Brown and Co., Inc. Charles has served in the United States Navy and is a retired captain with the U.S. Naval Reserves. As Senior Vice President-Wealth Management, Charles works extensively with individuals and corporations in the areas of stock selection, fixed income and asset allocation.

Charles earned a B.A. from Hamilton College and a M.B.A. from the University of Southern California. He holds Series 7, 24 and 63 securities licenses. Charles is active in many local organizations, including Child and Family Services, the James H. Cummings Foundation and Cradle Beach Camp. Charles and his wife, Louise, have two children, Chas and Lauren.

• Hamilton College, B.A.
• University of Southern California, M.B.A.

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CA Insurance License #1599594

Having obtained the UBS Wealth Advisor designation, helps qualify Vince in providing personalized wealth management services to our clients.

To help manage wealth, Vince calls upon the advisory and investment brokerage capabilities of UBS—one of the world’s largest wealth management firms.

Vince began his career with Merrill Lynch in Chicago shortly after completing graduate school.  For the next 10 years he provided investment and wealth management advice to corporate executives, small business owners and medical practitioners.  He then returned to his hometown of Rochester, NY to become a Principal with a regional investment firm.  When this firm was later sold to KeyBank/McDonal Investments, Vince continued to be the Branch Manager of the investment division as well as the Private Bank.

Since leaving management and resuming work advising affluent families and professionals, Vince has also focused on working with larger institutional clients, such as Foundations and Endowments.  He enjoys being able to apply the sophisticated solutions that he uses as an Institutional Consultant to his individual clients.  He spends a great deal of time researching the changing dynamics of the investment world.  Vince has achieved the designation of Certified Investment Management Analyst.

With his clients, Vince emphasizes total portfolio management; he also helps them with education funds, structures for charitable giving and estate planning strategies.  He is registered and holds Series 7 and 63 securities licenses as well as licenses for life, accident and health insurance and variable annuities.

Vince holds a bachelor’s degree in economics from Princeton University and a M.B.A from the University of Chicago.  Vince and his wife life with their three children in Pittsford, NY.  In the fall he is a volunteer coach for the Pittsford High School football team.

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As an accomplished Team Administrator with a robust career spanning over three decades, Kathleen Kumm began her journey in the financial services industry in 1988 at Kidder Peabody & Co. During her tenure, which later transitioned to UBS Financial Services Inc., she held several management positions that honed her skills in operations, client relations, and team leadership.

In 1996, Kathleen joined the Kreiner Financial Group (now Kreiner Battaglia Financial Group), where she has played a pivotal role in driving administrative service. As the Team Administrator, her responsibilities encompass overseeing daily operations, coordinating office management, and ensuring communication within the team. She is also tasked with facilitating meetings and streamlining processes to enhance productivity.

With a keen eye for detail and a commitment to fostering a collaborative work environment, Kathleen is dedicated to supporting the group's strategic objectives while maintaining a high standard of service for clients and colleagues alike.

Kathleen earned a B.A. from Fordham University.  She holds Series 7, 8, 63 and 65 securities licenses.

• Fordham University, B.A.

• Certified Investment Management Consultant

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CA Insurance License #4149884

Rocky has more than nine years of financial services experience and focuses on financial planning, portfolio diversification strategies and new business development. Prior to joining UBS Financial Services Inc., his business career included management experience in computer services, retailing and small business development. He holds Series 7 and 66 securities licenses, as well as life and health insurance licenses.

Rocky earned a B.A. from Dartmouth College and an M.B.A. from the Amos Tuck School of Business Administration at Dartmouth. He is a lifelong resident of Buffalo, residing in Williamsville with his wife Marcia. They have two grown children, Sarah and Carl.

• Dartmouth College, B.A.
• Amos Tuck School of Business Administration at Dartmouth, M.B.A.

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CA Insurance License #4048972

Eugene has more than 13 years experience in the financial services Industry. He focuses on the distribution phase of retirement and income planning, specializing in protection and wealth transfer strategies. He holds the Series 7, 6, 66, 63, 31 and Life and Health Insurances licenses. Prior to starting in financial services, his business career included managing marine retail businesses in Youngstown NY, Toronto Canada and Dublin Ireland.

Eugene is active in many organizations including The Buffalo Yacht Club, Buffalo Harbor Sailing Club, and Buffalo Niagara Resource Association.

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Mike is a Financial Advisor with the Kreiner Financial Group. Prior to joining the team, he was as an Investment Portfolio Specialist for UBS in Boston, working with financial advisors in the Greater New England area. Previously, he served as a Senior Financial consultant for TD Ameritrade in Rochester, NY.

Mike has considerable proficiency and expertise in structuring and managing investment portfolios.  He also brings extensive knowledge and focus on financial planning, helping clients to define their financial needs in order to meet their long-term goals through personalized investment advice. His approach allows him to craft an effective strategy while avoiding unnecessary risk.

Mike is a graduate of the Whitman School of Management at Syracuse University and was a 4-year letterman on its nationally, top-ranked Lacrosse team. He grew up in the Rochester NY area where he attended the Aquinas Institute playing football and lacrosse and has now happily returned to his Western New York roots, residing in Lancaster. He holds his series 7, 66, and 9 licenses and has achieved the Chartered Retirement Planning Counselor (CRPC®) designation.

• Whitman School of Management at Syracuse University

• Chartered Retirement Planning Counselor

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Samantha began her career in the financial services industry in 2020.  She began working at UBS with Vincent Battaglia in 2022.  Sam’s main focus is providing client service and assisting in planning and operational processes.  Sam holds the Series 7 and Series 66 licenses.

Sam lives in Irondequoit with her fiancé, Philip, and their dog, Rosie.  Outside of work, Sam enjoys spending time with her family and friends.  Sam graduated from Nazareth College with her Bachelor’s degree in Communication Sciences and Disorders and Master’s degree in Education.

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Catherine is a dedicated Wealth Management Associate with the Kreiner Battaglia Financial Group.  She began her career in 1998 as a wire operator and cashier at PaineWebber (now UBS Financial Services). Leveraging a strong background in operational support, Catherine excels in enhancing client relations addressing clients’ questions and concerns.  A former airman in the U.S. Navy, she brings a disciplined approach to her work. She holds Series 7 and 63 securities licenses, demonstrating her commitment to professional development and industry experience.

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Cameron Perna adds comprehensive investment management, client advisory, and operational service to our team.

Prior to joining UBS, he served as a Private Equity Investor and Operating Partner at 39 North Capital. He was responsible for underwriting new investments and executing strategic projects across portfolio company operations.

Previously Cameron was an Investment Analyst for the University of Notre Dame Investment Office, a Credit Analyst at The Blackstone Group, and an Investment Banking Analyst at DBO Partners.

Cameron graduated summa cum laude and Beta Gamma Sigma from the University of Notre Dame with a B.A. in Finance and Economics. He holds Series 7 and 66 securities licenses.

 A native of Western New York, Cameron enjoys golfing, skiing, cooking, traveling, reading, and volunteering with the Habitat for Humanity.