Experience

Focus – Chris focuses on helping individuals and families turn possibilities into a plan by managing the many facets of their complex financial lives.  For each client relationship, he takes the time to understand holistically all they would like to accomplish.  Chris then works to craft a flexible plan aligned with where his clients are today and where they want to go, including retirement on their terms.  Drawing on his in-depth knowledge and experience, Chris provide his clients with straightforward insight, and then builds a customized strategy to pursue both what is important for them today and in the future.

Background – Chris began his career in financial services as a Vice President of Investments at Merrill Lynch in 1999.  He earned a Bachelor of Science from Cornell University, and has his Series 7, 9, 10, and 66 securities licenses as well as insurance licenses for life, health, and annuities.  Chris also earned the designation of Certified Financial Planner™, and in 2022 was recognized by Forbes as a Best-in-State Wealth Advisor.

Personal – Chris lives in Brookfield with his wife Stacy and their daughters Ava and Sophia. Chris manages a regional softball travel team.  He is also an active member of the Cornell Hotel Society.

California Insurance License # 0I58727

Focus - Sean is committed to providing each client with a personalized wealth management plan tailored to their financial goals. He understands that wealth management encompasses a diverse range of services and strategies available at UBS, adapted to meet the unique needs of every client. With decades of experience, Sean helps clients navigate various market conditions while remaining focused on their long-term objectives. He collaborates with a skilled team of trust and estate attorneys, business and personal tax accountants, and experts in retirement and lending to comprehensively address all aspects of a client’s financial plan.

Background - Sean began his financial services career in 1985 as a Financial Advisor with Merrill Lynch. In 1997, he joined UBS, where he has served as Senior Vice President of Wealth Management in Westport, CT, since 2001. He is among a select group of UBS Financial Advisors to earn the distinctions of Wealth Advisor and Senior Portfolio Manager. As a Wealth Advisor, Sean offers personalized services to individuals, families, business owners, and corporate trustees.

As a qualified Senior Portfolio Manager, Sean brings the technical expertise and analytical skills necessary to create, manage, and monitor investment portfolios effectively. He holds a Bachelor of Arts degree in Mathematics and Economics from Wesleyan University in Middletown, CT, and is a Certified Financial Planner™. He also maintains various securities licenses, including Series 7, 63, and 65, as well as insurance licenses for life, accident, health, and variable products.

Personal - Sean and his wife, Nancy, have lived in Fairfield, CT, since 1993, where they raised their three children—Erin, Thomas, and Meaghan. He has been actively involved in the community, serving on several private organization boards, and dedicating over 20 years to coaching youth sports teams.

California Insurance License # 4185569

Focus – With more than 30 years of experience in the financial services industry, David maintains a focus on the long-term goals of his clients, while making sure to balance this with providing for their short-term needs.  David understands that each client is unique, and so takes the time to craft a plan that is specific to each client’s destination.  David’s practice focuses on using planning tools to develop personalized strategies and applying the results to the management of a client’s investment assets.  

Background – David, who first started work in the financial services industry in 1987, joined UBS in 1990. He holds the Series 7, 63 and 65 securities licenses as well as a variety of insurance licenses.  David graduated from Marquette University in Milwaukee, WI, where he earned a Bachelor of Arts degree.

Personal – Married to Gioia Riccio, M.D., David is the father of two children, Timothy, and Francesca.  When not working or volunteering, David and his family enjoy reading, golf, travel, sporting events, museums, and music.  David has served on the Investment Committee of the Fairfield County Community Foundation, and previously served both as treasurer and on their Audit Committee.  Serving in a leadership role at the Foundation has allowed David to utilize his professional skills to make Fairfield County a better place to live, work, and raise families. 

California Insurance License #4301458

Sue began her UBS career in Chicago, IL as a Client Service Associate after graduating from Keene State College in New Hampshire.  In 2005, she transferred to the UBS Westport, CT office in the same capacity.  Then in 2007 Sue passed the Series 7 – General Securities Examination, and in 2012 she passed the Series 66 – Uniformed Combined State Law Examination.  Sue was subsequently promoted to her current position of Senior Registered Client Service Associate (SRCSA).  She also currently holds the position of Branch CSA Coach, which places her in charge of teaching and mentoring all of the CSA's in the Westport office. Sue and her husband, Mike, live in Stratford, CT where they are raising their two children – Lucas and Olivia.

With over 13 years of experience in the financial services industry, Maria leverages her dedication, problem solving and can-do attitude to provide an exceptional level of client service. She joined UBS in 2019 as a Registered Client Service Associate, following her prior roles in similar capacity at Saugatuck Financial, Northern Trust and J.P. Morgan Chase.  Maria's diverse background includes expertise in investment and banking operations, account management, and client service. Maria earned a Bachelor of Science degree in Financial Management from the University of Connecticut, and holds the Series 7, 63, 65 licenses, as well as her Connecticut Insurance license.  Maria resides in Norwalk with her husband James and their daughter Sophia, and in their leisure time they enjoy an active lifestyle, attending to concerts, and traveling with her family.

Kaley joined UBS as a Client Associate in 2022, after completing two summer internships with UBS Wealth Management. Kaley earned a Bachelor of Science degree in Business Management from Roger Williams University, where she graduated in 2022. During her time at RWU, Kaley was on the Varsity Women’s Swim Team all four years and was the team captain her senior year. Kaley is FINRA registered, holding her Series 7 and 66 licenses. Outside of work, Kaley enjoys spending time with her family and friends, and traveling.