Our insight and experience

Bringing institutional perspective to Private Wealth Management
Nick brings extensive institutional sales and Investment Banking experience to Soteria Wealth Management. His understanding of institutional trading, markets and risk, provides a valuable perspective to executives in healthcare and financial services. Today, Nick manages the portfolios of investment bankers, traders, research analysts and senior financial executives. He also advises a number of clients in large-cap pharmaceuticals, specialty pharmaceuticals and the biotechnology sector.

Experience

• 25 years in the institutional equities business
• Managing Director and Head of US institutional equity sales, UBS
• Operating Committee member, US institutional equity sales, UBS ($1 billion in revenue; responsible for all IPOs, secondary sales, convertibles and block transactions)
• Managing Director, Institutional Equities, Swiss Bank (formerly Dillon, Read & Co.)

Life

• Nick is the father of six children.
• They love traveling and spending time together.

Tackling complex wealth issues, managing risk, helping preserve capital
In his 20 years in the financial industry, Mike has helped navigate clients through volatile markets and holds great respect for the markets’ risk-reward dynamic. Mike aims to proactively address complicated issues—before they actually become problems. As the team’s portfolio manager, he develops creative solutions for helping clients manage risk. He enjoys the challenge of simplifying the complex and working with affluent families to help preserve their wealth, whether through thoughtful investing or tax-saving solutions.

Experience

• Financial Advisor, RBC Dain Rauscher

Credentials

• Series 7, 31, 63 and 65 securities licenses
• Life and health insurance licenses

Life

• Mike has four daughters.
• He enjoys coaching softball.

Making a positive impact through planning
Focused on providing strategic financial planning within Soteria Wealth management, Joe strives to help clients grow, preserve and transition their wealth to their families and the causes that matter most. Growing up, Joe was taught the importance of budgeting, saving and planning. He brings those values to each relationship—values that shape the advice and recommendations he truly hopes can make a positive impact in his clients’ lives. 

Experience

• Hall Capital Partners multifamily office

 Credentials

• NFLPA Registered Player Financial Advisor
• Certified Exit Planner Advisor^® (CEPA^®)
• CERTIFIED FINANCIAL PLANNER^TM (CFP^®) practitioner
• Certified Private Wealth Advisor (CPWA^®)
• Series 7 and 66 securities licenses
• Life and health insurance licenses
• B.S., Colgate University

Life

• Joe is happily married and currently a proud dog owner.
• He enjoys golf and traveling.
• He supports a number of charities focused on youth, the military and special needs.

Pursuing multigenerational family and business goals with discipline and market insight 

Frank’s Wall Street career in real estate, structured products and investment banking spans over three decades. A UBS Private Wealth Advisor, Frank brings broad institutional experience that strategically complements the depth and breadth of the team’s knowledge, especially their focus on multigenerational planning and investing for sophisticated families, their businesses and their family offices.

As a West Point graduate, Frank places a high value on trust, honesty and integrity in his client relationships. He is a skilled problem-solver supported by his keen understanding of complex solutions and his ability to communicate them in straightforward terms. Every day, Frank is inspired to deliver advice that can make an invaluable difference in clients’ financial lives.

"I am sincerely excited to help folks achieve the goals they have for their families, their businesses and the generations that follow. I see that as my personal responsibility.”

Past experience 

• Cantor Fitzgerald, Managing Director – Structured Products
• Deutsche Bank, Director – Debt Capital Markets
• Lehman Brothers, Senior Vice President – Fixed Income
• Captain, United States Army

 Credentials

• Series 7, 63, 66 and 79 securities licenses

 Education

• B.S., Engineering, US Military Academy at West Point (Lacrosse - 3x All-American)

 Life

• Frank and his wife, Kate, have three children and three grandchildren.
• He is an avid sports fan, history buff and cooking enthusiast.
• Frank is lifelong supporter of military and veterans’ charities.

With more than 29 years in the financial services industry, Susan joined UBS in 2012. She is responsible for all aspects of Soteria Wealth Management's client service. Susan handles special team projects and monitors account activity and internal reports to keep the team and clients informed. Susan earned a B.S. degree in business economics from the State University of New York at Oneonta. Susan has her Series 7 and 63 securities licenses. Susan and her husband live with their four children in Tappan, NY.

Guiding decision making through a structured approach to planning

As a CERTIFIED FINANCIAL PLANNER™ I provide guidance and help to bring structure to my client’s lives. This is achieved through a process of identifying goals, implementing solutions to meet those objectives and performing ongoing review to measure progress. Priorities and circumstances can change throughout time and my process has helped to keep clients on track through multiple market cycles and stages of life. Whatever your circumstances, I can help you create a comprehensive financial plan to help guide you towards a desired outcome.

 “I want clients to have confidence that they are making their best possible decisions as a result of the planning work we’ve done.”

Experience:
Morgan Stanley Wealth Management

Credentials:
CERTIFIED FINANCIAL PLANNER™ (CFP® practitioner)
Series 7 and 66 securities licenses
Life and health insurance licenses

Education:
B.A., Economics, Harvard University

Life:
Mike and his wife, Ashley, have two young children
He enjoys golfing, history and creating fine art

Mark Pomo is a Vice President-Wealth Management member of the Rose Wealth Management for UBS Financial Services in Short Hills, New Jersey.  Mark has more than 30 years of broad investment management experience in both the equity and fixed income markets. Prior to joining UBS in 2013, Mark was a wealth manager at Morgan Stanley for 26 years.

As a young man early in my professional career I realized that family members sought out my advice about a wide variety of things. They felt comfortable sharing not only their personal feelings but also sought advice on their finances and life goals.  My desire to combine my interest in the financial markets with working with individuals led me into the securities industry. The trust that my family felt has been extended to my clients, which I feel makes my relationships as strong as they can be.

Mark received a BS in Accounting from Boston College in 1978. Prior to joining Morgan Stanley in 1986, he held various financial positions at General Cinema Corp, Gillette, and Olympia & York.

In his spare time, Mark enjoys coaching youth sports, staying active exercising, and spending time with his family.

Education

Boston College, B.S. Accounting: 1978

The first step to helping clients and their families achieve success is to understand their goals, values and vision. Christian brings that approach to every client interaction and from there, he is able to provide the proper strategy within the framework of a financial plan. Through proper planning, Christian helps simplify otherwise complex situations and finds it gratifying when families are successful.

Experience

• UBS Wealth Advice Center
• Worked with clients to build asset allocations and provided guidance on institutional clients’ equity compensation awards, including Incentive and Non-Qualified Stock Options, Stock Appreciation Rights and Restricted Stock Units
• UBS Wealth Planning Analyst
• Partnered with Financial Advisors to deliver overall financial planning to clients

Credentials

• CERTIFIED FINANCIAL PLANNER^TM (CFP^®) Practitioner
• Chartered Retirement Planning Counselor^SM (CRPC^®)
• Accredited Wealth Management Advisor^SM (AWMA^®)
• Series 7 and 66 Securities Licenses
• Life, Health and Accident Insurance Licenses
• B.S., Business Administration, Susquehanna University (Varsity Lacrosse Player)
  
  

Life

• Christian enjoys coaching Lacrosse, traveling and watching New York Giants games
• Resides in Wayne, NJ

Leslie Bruce, Wealth Strategy Associate, joined the Soteria Wealth Management team in November 2020. She brings with her experience in client servicing and wealth planning, having led a servicing team with over $1.8 billion AUM at Bernstein Private Wealth Management. Leslie is a graduate of Columbia University in the City of New York with a Bachelor’s degree in Psychology. She is a native New Yorker and currently resides in Fort Lee, NJ.  In her free time, she enjoys traveling, hiking, biking, and collecting oil lamps. She also enjoys mentoring youth and participates through UBS and her alma mater with organizations including Read Ahead, George Jackson Academy, and Smart Woman Securities. Leslie holds FINRA licenses Series 7 and 63.

Maggie, an integral member of the Soteria Wealth Management team, is focused on ensuring that the full spectrum of client needs is met with clarity, thoroughness and efficiency. She works closely with individuals and families to assist them with resolving everything from day-to-day operational issues to more complex situations and questions. Maggie prides herself on being highly organized and strives to reflect the team’s ethos of exceeding client expectations when it comes to transparent communication and high-touch, personalized service.

Past experience
Maggie’s interest in finance and wealth management began with more than four years working at an IRA custodian. When she joined UBS in 2022, she brought her extensive knowledge of IRAs and alternative investments, as well as her years of experience in customer service, to her current role supporting Soteria’s roster of valued clients. Maggie enjoys the variety that her position brings and looks forward to continuing to expand her knowledge of, and experience in, private wealth management.

Education and credentials
– B.S., psychology, Sacred Heart University
– M.A., teaching, elementary education, Sacred Heart University

Life
Outside of work, Maggie loves to spend time with her husband Steve and her dog Maeve, who is thrilled to accompany the couple on hikes and visits to the dog park. Maggie volunteers for the local Bergen County dog rescue association and enjoys exploring the local New Jersey food and restaurant scene.