Experienced planning for your foundation and endowment

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Mr. Phillips, team leader for the Richmond Institutional Consulting Group, has over 35 years of investment experience with UBS Financial Services Inc. (formerly PaineWebber Inc.)  He is an investment advisor representative (Series 66) and a registered principal with the Financial Industry Regulatory Authority (FINRA) (Series 8).  Mr. Phillips is one of a select group of 95 Institutional Consultants at UBS Financial Services Inc.  He is an active member of the Investment Management Consultants Association (IMCA) and has served on its certification committee.  In addition, he is an active member of the Chartered Financial Analyst Society of Virginia (CFA Virginia) and its international affiliate, the CFA Institute.  He also belongs to the Central Virginia Employee Benefits Council (CVEBC) and is an associate member of the Virginia Society of Certified Public Accountants (VSCPA).

 Mr. Phillips received a B.S. degree in economics from Virginia Tech and a master's degree in business from Virginia Commonwealth University (VCU).  He is past president of the VCU School of Business Alumni Board and currently serves on the VCU Business School Finance Advisory Council.  In addition, he is a graduate of the New York Institute of Finance's Resident Investment Training Program and has earned the designation of Certified Investment Management Analyst (CIMA) from the University of Pennsylvania's Wharton Graduate School of Finance.  He completed the CFA Institute’s 37^th annual Investment Management Workshop at the Harvard Business School in July, 2005.  He earned his designation of Accredited Investment Fiduciary (AIF) and Accredited Investment Fiduciary Analyst (AIFA) from the Center for Fiduciary Studies, a division of the University of Pittsburgh’s Joseph M. Katz Graduate School of Business. Most recently (May, 2014), Mr. Phillips completed the Advanced Investment Strategist Certificate in Portfolio Risk Management from the Investment Management Consultants Association (IMCA).

• Virginia Tech, B.S. Degree in Economics
• Virginia Commonwealth University (VCU), Master's Degree in Business

• Certified Investment Management Analyst®

• AL
• CA
• CO
• FL
• GA
• KS
• KY
• LA
• MD
• MS
• NC
• NY
• OH
• PA
• SC
• TN
• TX
• VA
• WA
• WV

Mr. Janes joined UBS Financial Services, Inc. in December of 2007 from Keller Williams Realty.  Prior to moving to the Richmond area, he held several supervisory and management positions in manufacturing companies located in Harrisonburg, Virginia.  He was also a safety director at those companies handling safety trainings and inspection audits.  He received his B.S. degree in Organizational Management and Development from Eastern Mennonite University, completed the MINI MBA Program at the University of Richmond and completed the Certificate in Financial Planning (CIFP) Program at Virginia Commonwealth University.  Most recently, he was awarded the designations of Accredited Asset Management Specialist (AAMS) and the Chartered Retirement Planning Counselor (CRPC) from the College for Financial Planning. He is a registered representative with the Financial Industry Regulatory Authority (Series 7), and he is an investment advisor representative (Series 66) with the Securities and Exchange Commission, as well as a licensed insurance agent with the Commonwealth of Virginia.  He also belongs to the Central Virginia Employee Benefits Council (CVEBC) and the Financial Planning Association of Richmond (FPAR).  Mr. Janes was born in Prince Georges County, Maryland, lived in Harrisonburg, Virginia for a number of years and moved to Richmond in October 2005.

• Eastern Mennonite University, B.S. Degree in Organizational Management and Development
• University of Richmond
• Virginia Commonwealth University
• College for Financial Planning

• Accredited Asset Management Specialist
• Chartered Retirement Planning Counselor
• Wealth Advisor

• AL
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• NC
• VA
• WV

Mr. Rafferty joined UBS Financial Services in September 2021 as a Client Service Associate from Edelman Financial Engines. Prior to working in Client Service, Mr. Rafferty spent three years working in a back-office operations role primarily focusing on retirement account distributions. He is a registered representative with the Financial Industry Regulatory Authority (Series 7). Michael is a graduate of Virginia Commonwealth University with a degree in Communications. Mr. Rafferty was born in Fairfax, Virginia, spent a few years in Norfolk, Virginia, and has resided in Richmond since 2014.

Mrs. Phillips has over 25 years of experience in the investment industry, all of which have been with UBS Financial Services Inc. (formerly PaineWebber Inc.)  During that time she has specialized in long range tracking and organization of client account data.  She attended Mary Washington College and later graduated from Virginia Commonwealth University with an associate of arts degree with an emphasis in math and science.  Mrs. Phillips has done graduate work at Shenandoah University and has completed UBS’s Investment Consulting Services MASTERS 100 training program.  She was born in Danville, Virginia and has resided in Richmond since 1968.

• Mary Washington College
• Virginia Commonwealth University, Associate of Arts Degree with an emphasis in Math and Science