Global perspective delivered personally

Auer & Associates is a New York-based team, with a national presence, backed by the global resources of UBS. We are committed to each generation of your family, providing comprehensive wealth management and personalized investment guidance.

We’ll work closely with you to meet the challenges you face at each stage of life. With a compassionate and consultative process, our commitment forms the foundation of our values.

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We have a simple and elegant process that keeps your needs as our priority. We pride ourselves on matching your goals and objectives with a highly personalized financial plan and investment strategy.
- Hans Auer

Pursuing your goals together

Our mission is to provide quality strategies customized to your needs. Our goal is to be your primary source of financial advice. To this end, we concentrate our efforts on developing long-term relationships through a commitment to quality client service.

Hans Auer

Senior Vice President–Wealth Management

Chartered Retirement Plans Specialist℠
View bio
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- ID
- IL
- KY
- MA
- MD
- MI
- MN
- MT
- NC
- NH
- NJ
- NV
- NY
- OH
- PA
- SC
- TX
- VA
- VT
- WA
Hans serves as the leader of the Auer & Associates group for UBS Financial Services, Inc. in Jamestown, New York office. Together with his team, Hans focuses on providing customized wealth management solutions to successful families and business owners to address their four biggest concerns: wealth preservation, mitigating taxes, taking care of their heirs and protecting their assets.

A lifelong area resident and graduate of Saint Bonaventure University, Hans has over two decades of experience as a Financial Advisor and holds the Certified Exit Planning Advisor and Chartered Retirement Plans Specialist designations. Always active in community affairs, Hans has served as a board member and Treasurer for the Chautauqua County Industrial Development Agency, as a Trustee for Saint Mary of Lourdes Parish, as past President of Moon Brook Country Club and as past campaign chairman and board member for the United Way of Southern Chautauqua County. Currently, Hans serves as member of the Board of Directors for the Ralph C. Sheldon Foundation.

Hans and his wife Kari make their home in Bemus Point, NY and have two grown children, Grace, and Peter.
- St. Bonaventure University, B.S. in Business Administration
- Chartered Retirement Plans Specialist℠
- Certified Exit Planning Advisor
201 West 3rd Street
Jamestown, NY 14701
Kristie Jo Peppy

Team Administrator
View bio
- FL
- MA
- NJ
- NY
- OH
- PA
Kristie Peppy is the Team Administrator for Auer & Associates at UBS Financial Services, Inc.. Kristie is a Pittsburgh native and a graduate of Allegheny College in Meadville, PA receiving a Bachelor of Arts degree in Economics. She brings a depth of experience to her clients having worked in both the financial operations and retail environments. She is committed to building strong personal relationships by delivering financial clarity and confidence.

Kristie currently lives in Bemus Point, New York with her husband Dr. Anthony Peppy. Together, they have two adult children, Michael and Christina. An avid running family, Kristie continues to be an active member of the Bemus Point Track Club and Maple Grove Cross Country Team. In addition, she is currently serving on The Resource Center Finance Committee and is a member of WIN (Women In Networking) Chautauqua. Kristie has previously held board positions on a national and local level supporting the Alliance of American Dental Society, UPMC Chautauqua Hospital Auxiliary, The Creche Inc., and Jamestown Public School System PTAs.
- Allegheny College in Meadville, PA, Bachelor of Arts degree in Economics
201 West 3rd Street
Jamestown, NY 14701
Tonie Wirsen

Senior Client Associate
View bio
- FL
- GA
- MA
- NY
- OH
- PA
- SC
Tonie joined UBS in 2009 and serves as a Senior Registered Client Service Associate, working closely with our most valued clients to help simplify their financial lives. Tonie has been in the financial industry working with her team for over 28 years. She holds her series 7 and 66 licenses and is registered in multiple states.

Tonie lives in Jamestown, New York with her boyfriend, David. Together they have 4 children. Emma, Ethan and Emilia live in Buffalo, NY and Ellie, who lives in Wilmington, NC. She is the founder and President of the All for Amy Golf Tournament which started in 2005 and provides scholarships to young people in our community. She enjoys golfing, reading, traveling and spending time with her family and friends.
- Senior Registered Client Associate
201 West 3rd Street
Jamestown, NY 14701
Alex Grace

Senior Wealth Strategy Associate

Chartered Retirement Plans Specialist℠
View bio
- FL
- GA
- MA
- NY
- OH
- PA
- SC
Alex Grace joined the Auer & Associates group in July of 2022 as a Client Service Associate. Since joining the team, Alex has worked diligently to take on the role of a Senior Wealth Strategy Associate. With his attention to detail and understanding of individual goals and objectives, he takes pride in working with clients to help them achieve financial success. Alex is FINRA licensed (Series 7/Series 66) and has obtained the Chartered Retirement Plans Specialist(SM) (CRPS™) certification.

Previously, Alex worked for Northwest Bank in Buffalo, NY where he held management responsibilities and gained valuable experience as a credit risk analyst.

As a proud member of the local community, Alex sits as a cabinet volunteer on the United Way team of Southern Chautauqua County. He currently resides in Bemus Point, NY with his wife Katie. In his free time, Alex enjoys spending time with his family and friends and trying to play the game of golf.
- Chartered Retirement Plans Specialist℠
201 West 3rd Street
Jamestown, NY 14701

Hans Auer

Senior Vice President–Wealth Management

Chartered Retirement Plans Specialist℠
View bio
- AZ
- CA
- CO
- CT
- DC
- DE
- FL
- GA
- ID
- IL
- KY
- MA
- MD
- MI
- MN
- MT
- NC
- NH
- NJ
- NV
- NY
- OH
- PA
- SC
- TX
- VA
- VT
- WA
Hans serves as the leader of the Auer & Associates group for UBS Financial Services, Inc. in Jamestown, New York office. Together with his team, Hans focuses on providing customized wealth management solutions to successful families and business owners to address their four biggest concerns: wealth preservation, mitigating taxes, taking care of their heirs and protecting their assets.

A lifelong area resident and graduate of Saint Bonaventure University, Hans has over two decades of experience as a Financial Advisor and holds the Certified Exit Planning Advisor and Chartered Retirement Plans Specialist designations. Always active in community affairs, Hans has served as a board member and Treasurer for the Chautauqua County Industrial Development Agency, as a Trustee for Saint Mary of Lourdes Parish, as past President of Moon Brook Country Club and as past campaign chairman and board member for the United Way of Southern Chautauqua County. Currently, Hans serves as member of the Board of Directors for the Ralph C. Sheldon Foundation.

Hans and his wife Kari make their home in Bemus Point, NY and have two grown children, Grace, and Peter.
- St. Bonaventure University, B.S. in Business Administration
- Chartered Retirement Plans Specialist℠
- Certified Exit Planning Advisor
201 West 3rd Street
Jamestown, NY 14701
Kristie Jo Peppy

Team Administrator
View bio
- FL
- MA
- NJ
- NY
- OH
- PA
Kristie Peppy is the Team Administrator for Auer & Associates at UBS Financial Services, Inc.. Kristie is a Pittsburgh native and a graduate of Allegheny College in Meadville, PA receiving a Bachelor of Arts degree in Economics. She brings a depth of experience to her clients having worked in both the financial operations and retail environments. She is committed to building strong personal relationships by delivering financial clarity and confidence.

Kristie currently lives in Bemus Point, New York with her husband Dr. Anthony Peppy. Together, they have two adult children, Michael and Christina. An avid running family, Kristie continues to be an active member of the Bemus Point Track Club and Maple Grove Cross Country Team. In addition, she is currently serving on The Resource Center Finance Committee and is a member of WIN (Women In Networking) Chautauqua. Kristie has previously held board positions on a national and local level supporting the Alliance of American Dental Society, UPMC Chautauqua Hospital Auxiliary, The Creche Inc., and Jamestown Public School System PTAs.
- Allegheny College in Meadville, PA, Bachelor of Arts degree in Economics
201 West 3rd Street
Jamestown, NY 14701
Tonie Wirsen

Senior Client Associate
View bio
- FL
- GA
- MA
- NY
- OH
- PA
- SC
Tonie joined UBS in 2009 and serves as a Senior Registered Client Service Associate, working closely with our most valued clients to help simplify their financial lives. Tonie has been in the financial industry working with her team for over 28 years. She holds her series 7 and 66 licenses and is registered in multiple states.

Tonie lives in Jamestown, New York with her boyfriend, David. Together they have 4 children. Emma, Ethan and Emilia live in Buffalo, NY and Ellie, who lives in Wilmington, NC. She is the founder and President of the All for Amy Golf Tournament which started in 2005 and provides scholarships to young people in our community. She enjoys golfing, reading, traveling and spending time with her family and friends.
- Senior Registered Client Associate
201 West 3rd Street
Jamestown, NY 14701
Alex Grace

Senior Wealth Strategy Associate

Chartered Retirement Plans Specialist℠
View bio
- FL
- GA
- MA
- NY
- OH
- PA
- SC
Alex Grace joined the Auer & Associates group in July of 2022 as a Client Service Associate. Since joining the team, Alex has worked diligently to take on the role of a Senior Wealth Strategy Associate. With his attention to detail and understanding of individual goals and objectives, he takes pride in working with clients to help them achieve financial success. Alex is FINRA licensed (Series 7/Series 66) and has obtained the Chartered Retirement Plans Specialist(SM) (CRPS™) certification.

Previously, Alex worked for Northwest Bank in Buffalo, NY where he held management responsibilities and gained valuable experience as a credit risk analyst.

As a proud member of the local community, Alex sits as a cabinet volunteer on the United Way team of Southern Chautauqua County. He currently resides in Bemus Point, NY with his wife Katie. In his free time, Alex enjoys spending time with his family and friends and trying to play the game of golf.
- Chartered Retirement Plans Specialist℠
201 West 3rd Street
Jamestown, NY 14701

A focus on personalized access and service

Working with diverse clients with specific needs, our team sees it as our top responsibility to understand each aspect of your unique and often complicated financial life.

Our consultative process

A step-by-step process to help simplify your financial life. Our in-depth process results in an integrated wealth plan that serves as a road map for meeting your personal and professional goals.

Discovery
We learn about you through a full discussion of your goals, your values and your current financial concerns.
Planning
We present a comprehensive plan with our evaluation and recommendations.
Commitment
We review the details of our recommended investment approach and confirm our commitment to our working relationship.
Follow-up
We help simplify your life by familiarizing you with the reports, tools and full complement of services available from our team.
Progress
We offer ongoing reviews with our team and our network of specialists to track, monitor and optimize your plan.

Relationship management

Exceptional service is essential to a successful relationship
We stay on top of the latest and most prudent financial thinking and share that expertise through regular financial plan reviews, performance monitoring and in-person meetings.

Customized client service
Our trusted client service team is highly accessible, offering consistent communication, personal touch points and ongoing reviews. Responsive and attentive, we provide a flexible communication plan specific to your needs and schedule.

A network of professionals
Our team works closely together, communicating regularly, tapping each member’s expertise. We have built strong relationships with a wide array of experts, both inside and outside of UBS. In addition, we will work closely with your team of accountants and attorneys, leading the effort to develop one integrated approach.

Long-range impact on each generation
We understand the connections between wealth and family, and we’re committed to having a multigenerational impact on your life. We are positioned to address every family issue ranging from wealth transfer and preservation strategies to philanthropic pursuits. Our approach is simple: If people and causes are important to you, they are important to us.

Investment management

We’ll work closely with you to help maintain your lifestyle

Our approach is grounded in wealth preservation, UBS insights, independent due diligence, diversification and risk monitoring.

A lifetime financial strategy
We are committed to building long-lasting relationships so we monitor and adjust your plan to make sure your investment strategy is continually optimized. This helps ensure we keep pace with fluctuating markets, changing tax laws and your evolving family needs.

Critical elements of our investment approach include:

Holistic financial modeling
Traditional private banking services
Concentrated stock management
Alternative investments
Consolidated account reporting

Asset allocation
Our team works with you to determine an asset allocation strategy appropriate for your goals. We are prudent and disciplined, honing in on the investment mix that’s most appropriate for your goals and comfort with risk.

Risk management
By listening and aligning with your objectives, we focus on strategies that allow for sensible growth and help mitigate risk. As we implement your investment strategy, we communicate regularly and track performance, rebalancing and making adjustments for life changes and economic conditions.

Retirement planning programs
We have extensive experience servicing the needs of retirement plan sponsors and participants. We understand you face a significant set of administrative challenges and responsibilities. Count on us to help your executives and employees confidentially prepare to get the most from your company’s incentive and benefit programs.

Advanced planning

Advice as your needs evolve

Whether you are navigating life’s important milestones, managing business transitions or planning your legacy, we offer confident advice that grows with your needs.

Wealth enhancement
We’ll help determine how best to put your wealth to work and reduce the cost of liabilities where appropriate:

Tax mitigation
Comprehensive planning
Asset allocation strategies
Portfolio rebalancing
Cash-flow management

Wealth transfer
We help ensure your assets are preserved and transferred to future generations and charitable organizations in a tax-efficient manner:

Legacy planning
Trust services
College funding strategies
Business succession planning

Wealth protection
Our team views your family interests and business interests as the components of a complete and integrated strategy:

Asset-based lending
Life and long-term care insurance
Estate planning coordination

Charitable giving
Many of our clients are passionate about philanthropy and rely on us to help them achieve their specific estate, legacy planning and charitable giving goals:

Charitable giving strategies
Foundation supervision and set-up
Donor-advised funds

Managing wealth is our craft

We’re committed to understanding what wealth means for you.

At UBS, excellence comes from nurturing the best of our heritage, mastering the details and delivering the expertise you need to turn your financial vision into a reality. The result? Financial advice that is finely crafted for what matters most to you.

Backed by the strength of UBS

A global leader in wealth management

^$5+ trillion

In invested assets globally
As of 11/07/2023

51 countries

Our global footprint

Global leader

UBS is a world-leading wealth manager

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Global perspective delivered personally

Pursuing your goals together

Hans Auer

Kristie Jo Peppy

Tonie Wirsen

Alex Grace

Hans Auer

Kristie Jo Peppy

Tonie Wirsen

Alex Grace

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A focus on personalized access and service

Our consultative process

Relationship management

Investment management

Advanced planning

Managing wealth is our craft

Backed by the strength of UBS

A global leader in wealth management

Insights

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