Makes all the difference

We are focused on helping business owners start, grow and finally exit their businesses. We have 3 main objectives:

  • Help the owner by being a source of advice on growing, funding and efficiently managing their business


  • Provide the owner with the financial tools to successfully prepare for future personal financial growth


  • Help the business owner as they transition out of the business through an effective exit planning process.

Carl Hattermann

Senior Vice President–Wealth Management

Financial Advisor

Carl has been with UBS and its predecessor companies PaineWebber and Kidder, Peabody for over 30 years. 

In 2015 Carl expanded his practice, partnering with the best of UBS, to business owners and their companies. He now focuses on the following sectors:

• Business Transitions Through ESOPs

• Business Insurance Solutions,

• Cash Management

• 401k Consulting

• Private Wealth Management

In doing this Carl's mission is simple: He serves a select few with integrity and value added service being his primary goals. This is accomplished by listening to his clients’ concerns, communicating openly and helping to address their needs. Carl prides himself on an unwavering commitment to his clients upon which his reputation has been built.

Carl has an undergraduate degree in Biology from Whittier College. He also earned an MBA in Finance from the University of Southern California. His prior career experience includes positions on finance staff at Ford Motor Credit Corporation, Manager of Financial Planning for Caesars World, and finally assistant treasurer for Hilton Hotels. He has earned a Certified Cash Manager designation from the Association of Financial Professionals and is a member of the Association for Corporate Growth

Carl has two daughters and five grandsons. He and his wife, Diane live in Orange County and are active in local charities.

Registered States:
  • AZ
  • CA
  • FL
  • GA
  • HI
  • IL
  • LA
  • MA
  • MN
  • NC
  • NE
  • NJ
  • NM
  • NV
  • NY
  • OH
  • OR
  • PA
  • PR
  • TN
  • TX
  • UT
  • VA


  • Whittier College, undergraduate degree in Biology
  • University of Southern California, MBA
888 San Clemente Drive
Suite 300
Newport Beach, CA 92660

Email Me