Equity compensation plans

• AL
• AR
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• HI
• IL
• IN
• KS
• KY
• MA
• MD
• ME
• MI
• MN
• MO
• NC
• NH
• NJ
• NM
• NY
• OH
• OK
• OR
• PA
• SC
• TN
• TX
• UT
• VA
• WA
• WI

Patrick joined The Anning Group at UBS in 2014 after 9 years at Merrill Lynch. He holds both series 7 and 66 licenses, life and health insurance licenses and is a swaps associated person with the NFA. He received his B.S.B.A. in marketing and his MBA from Xavier University. Patrick focuses on providing wealth management and financial planning services for families, nonprofits, family offices and corporate services to publicly traded companies. He assists clients with their financial needs by developing strategies and analysis to achieve their goals. Patrick also maintains the investment models for the team.

Patrick serves as the Treasurer at the nonprofit Shelterhouse (formerly The Drop Inn Center) and is a member of the executive and finance committees. He is an Executive Mentor at his Alma Mater and is an active speaker in the local business community on startups and entrepreneurship. In 2015 he was a recipient of the Forty Under 40 award by the Cincinnati Business Courier. Patrick is an automotive and audio recording enthusiast. He resides in Sycamore, Ohio with his wife, Margaret and daughter, Ella.

• Forbes Best-in-State Wealth Management Teams, 2023The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.

• Corporate Stock Benefit Consultant

• AL
• AR
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• HI
• IL
• IN
• KS
• KY
• MA
• MD
• ME
• MI
• MN
• MO
• NC
• NH
• NJ
• NM
• NY
• OH
• OK
• OR
• PA
• SC
• TN
• TX
• UT
• VA
• WA
• WI

John began his career in 1996 with Merrill Lynch in Denver Colorado, working in syndicate equity where he coordinated Inital Public Offerings and Secondary Market Offerings for the Denver Complex. He then moved into their Business Financial Services Group and worked on cash management and lending solutions for small to mid-sized businesses. In 1998 John returned to Cincinnati to work with The Anning Group in a Financial Advisor role. Today, with UBS, John provides wealth management services to families, nonprofits, family offices, as well as corporate services to publicly traded companies. He focuses on helping clients develop and maintain a comprehensive financial plan that addresses near and long term financial goals. He also assists in overseeing the team's asset allocation and investment models. John earned his BA from Skidmore College in 1994.

John currently serves on the board of The Christ Hospital Foundation; he previously served on the board of the Cincinnati Parks Foundation. John coaches his son's travel hockey team. He also enjoys playing golf, ice hockey and he is an avid skier. John resides in Mariemont, and has two daughters and a son.

• Forbes Best-in-State Wealth Management Teams, 2023The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.

• AL
• AR
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• HI
• IL
• IN
• KS
• KY
• MA
• MD
• ME
• MI
• MN
• MO
• MT
• NC
• NH
• NJ
• NM
• NY
• OH
• OK
• OR
• PA
• SC
• TN
• TX
• UT
• VA
• WA
• WI

Bob moved the team to UBS in November, 2012 after a 45 year career at Merrill Lynch. He earned a BA from Trinity College in 1963 then went on to serve as an officer in the US Navy. He is a former Lieutenant and Intelligence Officer and served on the Joint Staff of Admiral Thomas H. Moorer. As the founding partner of the team, Bob focuses on the investments and performance of the portfolios. He provides holistic advice and guidance for all financial planning by meeting with clients and their CPAs, attorneys and families. 

Bob is currently serving on the Boards of: Cincinnati Children's Hospital Medical Center, Ronald McDonald House Charities, and the Convalescent Hopsital for Children.

• Forbes Best-in-State Wealth Advisors, 2023The Forbes rating is compiled by Shook Research and awarded annually in April based on information from a 12 month period ending June of the prior year.
• Forbes Best-in-State Wealth Management Teams, 2023The Forbes rating is compiled by Shook Research and awarded annually in January, based on information from a 12 month period ending March of the prior year.

• AL
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• HI
• IL
• IN
• KY
• MA
• MD
• ME
• MI
• MO
• NC
• NH
• NJ
• NY
• OH
• OK
• OR
• PA
• SC
• TN
• TX
• UT
• VA
• WA
• WI

Vickie joined The Anning Group in February, 2012 at Merrill Lynch then moved back to UBS with the group in November, 2012. Vickie has over 34 years experience in the banking and financial services industries. She started her career in the financial industry with PaineWebber/UBS in April, 1997 after 16 years in the banking industry. She holds Series 7, 63 and 66 licenses. As the Team Administrator, Vickie oversees the daily operations of the team and the service to our clients.Vickie is responsible for trading and portfolio rebalancing in addition to supervising account administration, and maintenance and operational requests. She assists clients with equity and fixed income trading as well as any administrative requests. She is also responsible for account enrollment into our various investment advisory programs and processing requests for money managers.

She served in SE Indiana as a Foster parent, Guardian Ad Litem/Court Appointed Special Advocate and Educational Surrogate Parent. She volunteers her time for the Kids for Accounting Day and Ohio Valley Voices. She enjoys reading, biking, gardening, sailing, hiking and spending time with her grandchildren. She lives in Clermont County with her husband, Mike.

• AL
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• HI
• IL
• IN
• KY
• MA
• MD
• ME
• MI
• MO
• NC
• NH
• NJ
• NY
• OH
• OK
• OR
• PA
• SC
• TN
• TX
• UT
• VA
• WA
• WI

David joined UBS in November 2021 and has over 15 years of financial services experience. He holds the FINRA Series 7 and Series 66 registrations as well as the AWMA® financial designation. His expertise includes institutional trading, corporate equity plan services (including Rule 144 trading and 10b5-1 plan execution), and financial planning. He enjoys spending time with his wife, Rachel, and son, Holden, as well as cooking, playing guitar and recording music.

• AL
• AZ
• CA
• CO
• CT
• DC
• DE
• FL
• GA
• HI
• IL
• IN
• KY
• MA
• MD
• ME
• MI
• MO
• NC
• NH
• NJ
• NY
• OH
• OK
• OR
• PA
• SC
• TN
• TX
• UT
• VA
• WA
• WI

Liz joined the Anning Group in March 2012 with 10 years experience in both the banking and financial services industries. Liz is a graduate of Xavier University, holds Series 7 and 66 licenses, and is life and health insurance licensed in Ohio.  As the team's service associate, Liz is responsible for the team's client review and meeting schedules, new client onboarding, and account administration.  She also assists clients with trading requests. She approaches every relationship with empathy, understanding, and a commitment to helping clients move successfully through challenges toward their financial goals.

Liz volunteers her time to the Kelly Carol Foundation for Children with Cancer, the New Richmond Lions Sports Hall of Fame, The Ronald McDonald House of Cincinnati, and the annual Nicholas Wilson Scholarship 5k Run.  Liz and her husband, Joe reside in Kennedy Heights.  They love traveling to both new and familiar destinations and enjoy lots of fun and fellowship with their large family.