Experience

Mike has navigated clients through wealth management in some of the most volatile market conditions in our nation's history, spanning portions of three decades. He utilizes this past experience, and the skills and credentials acquired throughout his career in real estate and finance to help institutional and private clients, trustees, and business owners manage their financial needs.

Mike has been a Director at UBS since 2009 and is a member of the Institutional Consulting Group at UBS. There are less than 100 advisors with the Institutional Consultant title at UBS and Mike's expertise allows our team to provide customized solutions that address your organization's unique needs and circumstances. He is a Certified Financial Planner™ certificant and holds the Certified Investment Management Analyst and Accredited Retirement Plan Consultant designations.

Prior to joining UBS, Mike was a co-owner of a real estate appraisal firm in Connecticut, and a Wealth Management Consultant with Merrill Lynch. He graduated from Bentley University in Waltham, MA and is a member of the Financial Planning Association and the Investment Management Consultants Association.

Mike is a member of Neighbors Helping Neighbors in Scottsdale, AZ and a Scottsdale Miss Softball coach as well as a past SMS board member. Mike is also a mentor for American Corporate Partners (ACP), which assists veterans in their career transition from the armed forces to the civilian workforce. He is past president of the Exchange Club of Norwalk, and the American Diabetes Association – Fairfield County Advisory Council and past board member of the Scottsdale Museum of Contemporary Art (SMoCA).

Mike and his wife, Lucy, and five daughters stay very active in the Southwest.

CA Ins. Lic. # 0E11612

Tom is one of a small number of UBS Financial Advisors who have earned the designation of Wealth Advisor. As a Wealth Advisor, Tom is eminently qualified to provide highly personalized wealth management services to my clients.

Tom understands that wealth management is more than just the wide range of financial services and solutions you can access at UBS. It is how those services are developed and delivered to help you pursue your goals. That's why he offers a customized approach to wealth
management, built on personal relationships and shaped by an understanding of your needs and aspirations. To help manage your wealth, Tom calls upon the advisory and investment brokerage
capabilities of UBS—one of the world's largest wealth management firms.

Tom has over twenty years of financial services experience. Prior to joining UBS in 2007, he held portfolio manager and advisory roles at Mellon Private Asset Management and East Pacific Investment Company, Inc. Tom also traded options on the trading floors of the Chicago Board Options Exchange and the Chicago Board of Trade from 1998 through 2006.

His focus is helping corporations and business owners create retirement and profit-sharing plans for the benefit of their employees. He works closely with senior management and investment  committees to select and monitor the investments offered in those plans. As one of UBS's Retirement Plan Consultants, Tom is able to assist with Investment Policy Statements. 

He earned the Chartered Financial Analyst (CFA) designation in 1998, and in 2010 attained the CFP® designation of Certified Financial Planner™. In 1995, Tom was awarded an MBA in Finance from Hawaii Pacific University and is a past president of the Phoenix CFA Society. Tom lives in Scottsdale, AZ with my wife and our four children.

CA Lic #0G14067