Important notices

Trademarks

AAMS® Accredited Asset Management SpecialistSM

Accredited Asset Management SpecialistSM and AAMS® are registered service marks of the College for Financial Planning®.

ADPASM Accredited Domestic Partnership AdvisorSM

ACCREDITED DOMESTIC PARTNERSHIP ADVISORSM and ADPASM are service marks of the College for Financial Planning®

AWMA® Accredited Wealth Management AdvisorSM or AWMA®

Accredited Wealth Management AdvisorSM and AWMA® are registered service marks of the College for Financial Planning®.

CFA Chartered Financial Analyst®

CFA® and Chartered Financial Analyst® are trademarks owned by the CFA Institute.

CFP® CERTIFIED FINANCIAL PLANNERTM

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the U.S.

CIMA® Certified Investment Management Analyst

CIMA® is a registered certification mark of the Investment Management Consultants Association, Inc. in the United States of America and worldwide.

CIMC® Certified Investment Management Consultant

CIMC® is a registered certification mark of the Investment Management Consultants Association, Inc. in the United States of America and worldwide.

CIMA® and CIMC® are registered certification marks of the Investment Management Consultants Association, Inc. in the United States of America and worldwide.

CMFC® Chartered Mutual Fund CounselorSM or CMFC®

Chartered Mutual Fund CounselorSM and CMFC® are registered service marks of the College for Financial Planning®.

CPWA® Certified Private Wealth Advisor®

CPWA® is a service mark of the Investment Management Consultants Association, Inc. in the United States of America and worldwide.

CRPC® Chartered Retirement Planning CounselorSM

Chartered Retirement Planning CounselorSM and CRPC® are registered service marks of the College for Financial Planning®.

CRPS® Chartered Retirement Plans SpecialistSM

Chartered Retirement Plans SpecialistSM and CRPS® are registered service marks of the College for Financial Planning®.

CWS® Certified Wealth Strategist® or CWS®

CWS® Board of Standards owns the certification marks CWS®, Certified Wealth Strategist® and the federally registered CWS® logo in the U.S.

IMCA

IMCA® is the trademark of the Investment Management Consultants Association, Inc. and denotes the highest quality of standards and education for financial professionals.

LUTCF Life Underwriter Training Council Fellow

The mark LUTCF is the property of The American College and may be used by individuals who have successfully completed the initial and ongoing certification requirements for this designation.

RP Registered ParaplannerSM or RP®

Registered ParaplannerSM and RP® are registered service marks of the College for Financial Planning®.

 

Advisor Accolade Disclosures
 

Barron's Top 100 and 1,200 Financial Advisors

Barron’s Top 1200, 100  criteria was based on assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work. Portfolio performance is not a criterion because most advisors do not have audited track records. Neither UBS Financial Services Inc. or its employees pay a fee in exchange for these rankings.  Past performance is not a guarantee of future results. Barron’s is a registered trademark of Dow Jones & Co.

Barron's Top 100 Women Financial Advisors

Barron’s Top 100 Woman Financial Advisors is based on assets under management, revenue and quality of practices. Investment performance isn’t an explicit component because not all advisors have audited results. Neither UBS Financial Services Inc. or its employees pay a fee in exchange for these rankings. Past performance is not indicative of future results. Barron’s is a registered trademark of Dow Jones & Co.

REP. magazine and WealthManagement.com "Top 40 Wirehouse Advisors Under 40"

Based on assets under management. Neither UBS Financial Services Inc. nor its employees pay a fee in exchange for these ratings.  Past performance is not indicative of future results.

REP. magazine and WealthManagement.com "Top 50 Wirehouse Women"

REP. magazine and WealthManagement.com's Top 50 Wirehouse Women is based on assets under management. Only advisors for whom 60 percent or more of assets correspond to retail clients were eligible for the list. Neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings.  Past performance is not indicative of future results.

REP. magazine and WealthManagement.com's Top 100 Wirehouse Advisors

REP. magazine and WealthManagement.com's Top 100 Wirehouse Advisors is based on assets under management.  Only advisors for whom 60 percent or more of assets correspond to retail clients were eligible for the list.  Neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings.  Past performance is not indicative of future results.

NABCAP

Premier Advisor award is based on the evaluation of 20 different practice categories such as experience, credentials, assets under management, fee structure, and philosophy among other factors.

On Wall Street

Top 40 Under 40 award is based on assets under management.

Financial Times 400 List

To qualify for the Financial Times 400 Advisors met a standard set by the Financial Times and were scored on assets under management (AUM), AUM growth rate, compliance record, experience, industry certifications and online accessibility.  Neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings.  Past performance is not indicative of future results.

Financial Times Top 100 Women Financial Advisors

To qualify for the Financial Times Top 100 Women Financial Advisors, advisors met a minimum requirement of being a woman, having 10 or more years of experience as an advisor and at least $200 million in assets under management (AUM).   Finalists are chosen based on research done by the Financial Times staff, AUM, AUM growth and  years of experience. Neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings. 

PLANADVISER Top 100 Retirement Plan Advisers

The PLANADVISER Top 100 Retirement Plan Advisers award is based solely on self-reported quantitative data about an adviser’s practice, including number of retirement plan assets under advisement, number of plans under advisement, and percentage of business coming from defined benefit, 403(b) and nonqualified plans. Because this recognition is based solely on quantitative figures, there is no judging or subjective measurement.  Neither UBS Financial Services Inc. nor its employees pay a fee in exchange for this award.

PLANSPONSOR Retirement Plan Adviser of the Year

The PLANSPONSOR Retirement Plan Adviser of the Year awards are based on a mixture of qualitative and quantitative measures, including tenure in the business, focus on retirement plan business as a percentage of practice revenue, willingness to serve in a fiduciary role to clients plans, and a review of essay answers and compliance records. Neither UBS Financial Services Inc. nor its employees pay a fee in exchange for this award.

NAPA Leadership award

The NAPA Leadership award is based on nominations provided to a task force from NAPA.  The finalists are reviewed based on pre-determined quantitative and qualitative characteristics, business focus, experience level, demonstrated leadership and compliance record.  Neither UBS Financial Services Inc. nor its employees pay a fee in exchange for this award.

Industry Recognitions

"Best Global Bank" by Euromoney for 2014

Best Global Bank  award was independently determined and awarded by the Euromoney editorial team.
 

Scorpio Partnership's list of the world's biggest wealth managers

Scorpio Partnership Private Banking Benchmark 2014. Ranked by assets under management as of 12/31/13.
 

J.D. Power  U.S. Financial Advisor Satisfaction Study

The 2014 J.D. Power U.S. Financial Advisor Satisfaction Study is based on responses of more than 3,900 financial advisors. The study was conducted between January and April 2014.
 

Thomson Reuters Extel Survey: #1 pan-European Equity House, #1 in Equity Sales and #1 in Equity trading and Execution.

Thomson Reuters Extel Europe study includes over 16,000 participants from 75 countries casting more than 700,000 individual votes. All rankings in Extel are based purely on weighted votes from the investment community.
 

American Foreign Policy Association's Corporate Social Responsibility Award

Corporate Social Responsibility Award is presented to individuals and companies who are committed to good corporate citizenship in the communities they serve.
 

Euromoney's "Best Global Wealth Manager"

Based on latest year-on-year percentage change in the number of private  banking clients; latest year-on-year percentage change in private banking gross revenue; latest year-on-year percentage change in private banking net income. The award was also based on nominations from frontline banking staff individual employees with a perspective on the relative merits and demerits of their banks and their competitors.
 

Euromoney's "Best Global Private Bank"

Based on latest year-on-year percentage change in the number of private  banking clients; latest year-on-year percentage change in private banking gross revenue; latest year-on-year percentage change in private banking net income. The award was also based on nominations from frontline banking staff individual employees with a perspective on the relative merits and demerits of their banks and their competitors.

E-mail disclaimer

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The information provided is intended for individuals residing in states where the Financial Advisor is properly registered as described on the profile page.

Neither UBS Financial Services Inc. not its Financial Advisors provide or tax or legal advice.  Wealth management services in the United States are provided by UBS Financial Services Inc., a registered broker-dealer offering securities, trading, brokerage and related products and services, Member Securities Investor Protection Corporation (SIPC) and Member FINRA.

UBS reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications.  UBS will not accept purchase or sale orders via social media and/or its messaging systems. 

Material provided is for information purposes only and should not be used or construed as an offer to sell, or solicitation of an offer to buy nor recommend any security.  Any commentaries, articles or other opinions herein are intended to be general in nature and for current interest.  Some of the material may be supplied by companies not affiliated with UBS and is not guaranteed for accuracy, timeliness, completeness or usefulness and is not liable for responsible for any content advertising products or services.