Let's move forward. Together.

Located just a few blocks from Grand Central Terminal in Midtown Manhattan, the Park Avenue Market provides global perspective for clients with sophisticated financial needs. Our team of Financial Advisors, Wealth Management Bankers and Wealth Planning Analysts distinguish themselves not only with decades of broad-based financial experience, but also with exceptional service.

We believe that the best experience begins with the right Financial Advisor. That's why our market leadership team works with our Financial Advisors to create a supportive culture – one that fosters integrity, challenge and collaboration. Our Financial Advisors are consistently recognized as industry leaders and innovators. With access to unparalleled global resources and industry-leading research, they are strongly positioned to help clients pursue their ultimate goals.

Two women in office

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.

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    Daniel Shepler

    Managing Director

    Market Director

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    • AR
    • CT
    • FL
    • MA
    • NJ
    • NY
    • PA
    • UT
    • VA

          299 Park Avenue
          8th, 9th, 11th Floors
          New York, NY 10171
          daniel.shepler@ubs.com
          Daniel Shepler
          299 Park Avenue,New York,NY,10171
        • Ashleigh

          Ashleigh Barr

          Director

          Admin Manager

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          • NJ
          • NY

          Ashleigh Alamo is a Director and Market Administrative Officer serving the NYC Central Market of UBS Financial Services.  Prior to her current role, Ashleigh was the Complex Administrative Manager (2015-2016), the Business Risk Specialist (2013-2015), and served as the Branch Office Administrator/Executive Assistant (2009-2013). 

          Ashleigh holds her BA in Communications from State University of New York College at Oneonta.  She maintains her Series 7, 63, 9, 10, and 3 securities licenses as well as the New York Life and Health licenses.  Ashleigh currently resides in New York City.  In her free time, she enjoys CrossFit and spending time with her friends and family.

                299 Park Avenue
                New York, NY 10171
                ashleigh.alamo@ubs.com
                Ashleigh Barr
                299 Park Avenue,New York,NY,10171
              • Stephen

                Stephen Bannon

                Executive Director

                Associate Market Executive

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                • NJ
                • NY

                Stephen joins the NYC Central Market as an Assistant Market Head - tasked with developing business strategy while working with internal and external partners to deliver tools and resources that Advisors (and their teams) need to best grow their business and serve their clients.

                Stephen returns to UBS after spending 2.5 years at Merrill as a Sales Manager in New Jersey.  Prior to his most recent experience, Stephen was with UBS for 5 years, originally joining as a Financial Advisor in the Wealth Advice Center in 2014 and then joining the WMA Training and Development team as the Lead Trainer and Team Integration Specialist for our Next Generation Programs in the Northeast and Private Wealth Management.  Prior to joining UBS in 2014, Stephen worked with Merrill Lynch for 4 years as an Advisor in Hopewell, NJ and Toms River, NJ.

                Stephen earned his BS in Business Management from the University of Central Florida in Orlando, FL.  He holds the Series 7, 66, 9 and 10, has earned his CRPC & AWMA designations, and continues to pursue further designations in support of his professional development.

                Stephen strives to stay active through participating in exercise and sports, loves to travel, and is open to every opportunity to explore new places alongside his wife of 6 years, Christine.  They have two beautiful children Lilliana (3) and Liam (1) and reside in Middletown, NJ.

                      299 Park Avenue
                      New York, NY 10017
                      stephen.bannon@ubs.com
                      Stephen Bannon
                      299 Park Avenue,New York,NY,10017
                    • Tom

                      Tom Clarkson, CFP

                      Director

                      Associate Market Executive

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                      • NJ
                      • NY

                      Tom joins the NYC Central Market as an Assistant Market Head - tasked with developing business strategy while working with internal and external partners to deliver tools and resources that Advisors (and their teams) need to best grow their business and serve their clients.

                      He joined UBS in 2018 as a member of the Wealth Management Graduate Talent Program, rotating through six different business areas, learning the wealth management business and UBS’ resources. Most recently he was a Business Strategist on the East Divisional Team where he supported all of the branch offices along the U.S. East Coast, from Maine to Virginia, totaling 12 states, including cities such as Boston, New York City, Philadelphia, Pittsburgh, and Washington D.C.

                      Tom is a CERTIFIED FINANCIAL PLANNER™ and holds his FINRA Series 7, 9, and 66.  

                      Originally from Massachusetts, Tom is a graduate of Boston College with a degree in Mathematics and Economics. He currently lives New York City with his girlfriend Stephanie, In his free time, he enjoys Boston sports, Peloton & WHOOP fitness, golfing, and exploring NYC restaurants.

                            299 Park Avenue
                            New York, NY 10171
                            tom.clarkson@ubs.com
                            Tom Clarkson, CFP
                            299 Park Avenue,New York,NY,10171
                          • Chris

                            Christopher Smith

                            Director

                            Supervisory Officer

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                            • NY

                            Chris Smith is a Director and Market Supervisory Officer for the NYC Central Market.

                            Chris leads a team of Supervisory Officers who ensure that all compliance, legal, and regulatory matters for the entire market are adhered to.   

                            He has had various supervisory and operational manager roles with UBS and Merrill Lynch.

                            Chris earned his BS in Business Administration from the University of Scranton. He is FINRA registered and holds Series 3, 4, 7. 24. 53, 63 & 65 as well as the New York Life and Health insurance licenses.

                            Chris currently resides in Manhattan. In his free time he enjoys traveling, exercise, and spending time with his family.

                                  299 Park Avenue
                                  New York, NY 10017
                                  christopher.c.smith@ubs.com
                                  Christopher Smith
                                  299 Park Avenue,New York,NY,10017
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                                  Fe Bataller-Hall

                                  Director

                                  Supervisory Officer

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                                  • AK
                                  • AL
                                  • AR
                                  • AZ
                                  • CA
                                  • CO
                                  • CT
                                  • DC
                                  • DE
                                  • FL
                                  • GA
                                  • HI
                                  • IA
                                  • ID
                                  • IL
                                  • IN
                                  • KS
                                  • KY
                                  • LA
                                  • MA
                                  • MD
                                  • ME
                                  • MI
                                  • MN
                                  • MO
                                  • MS
                                  • MT
                                  • NC
                                  • ND
                                  • NE
                                  • NH
                                  • NJ
                                  • NM
                                  • NV
                                  • NY
                                  • OH
                                  • OK
                                  • OR
                                  • PA
                                  • PR
                                  • RI
                                  • SC
                                  • SD
                                  • TN
                                  • TX
                                  • UT
                                  • VA
                                  • VI
                                  • VT
                                  • WA
                                  • WI
                                  • WV
                                  • WY

                                  Fe Bataller-Hall is Director and Market Supervisory Officer for the NYC Central Market, GWM Americas. Fe leads a team of Supervisory Officers who ensure that all compliance, legal and regulatory matters for the entire Market are communicated and implemented.

                                  In 1988, Fe joined the Rotan Mosle branch of PaineWebber Inc., now UBS Financial Services, in New York City as a New Accounts Clerk. She has performed various roles, such as Branch Technology Liaison, Sales Assistant and Branch Office Assistant. She was offered the role of Compliance Officer in 1997 and continued to develop as Market Supervisory Officer.

                                  Fe holds a Bachelor’s Degree in Commerce, major in Accounting from University of the Cordilleras in the Philippines. She currently resides in Pennsylvania with her husband Gareth. Fe enjoys gardening and volunteering for church and local community groups.

                                        299 Park Avenue
                                        New York, NY 10017
                                        fe.batallerhall@ubs.com
                                        Fe Bataller-Hall
                                        299 Park Avenue,New York,NY,10017
                                      • Natalie

                                        Natalie Flotner

                                        Associate Director

                                        Admin Manager

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                                        • CT
                                        • MA
                                        • NJ
                                        • NY

                                        Natalie Flotner joined the NYC Central Market as an Administrative Manager for the 299 Park Avenue branch in 2020. Natalie is responsible for hiring, training, developing, and supervising staff, as well as ensuring efficient branch administration. Prior to this role, Natalie held various team associate positions at UBS and Morgan Stanley.

                                        Natalie earned her BS in Fashion Merchandising from The Ohio State University. She is FINRA registered and holds the Series 7, 66, 9, 10, & NY State Insurance License.

                                        Natalie lives in NYC and in her spare time enjoys exercising, traveling, and spending time with her friends & family.

                                              299 Park Avenue
                                              New York, NY 10171
                                              natalie.flotner@ubs.com
                                              Natalie Flotner
                                              299 Park Avenue,New York,NY,10171
                                            • Frank

                                              Francis Lauria

                                              Authorized Officer

                                              Admin Manager

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                                              • AK
                                              • AZ
                                              • CT
                                              • DE
                                              • FL
                                              • MD
                                              • NC
                                              • NY
                                              • PA

                                              Frankie Lauria is an Administrative Manager serving the NYC Central Market of UBS Financial Services. Prior to his current role, Frankie worked at Fidelity Investments as a consultant for 7 years.

                                              Frankie holds his degree in Psychology from State University of New York University at Albany.  He maintains his Series 7, 63, 9 and 10 securities licenses as well as the New York Life and Health insurance licenses.  Frankie currently lives in Long Beach, NY.  In his free time, he enjoys spending time on the beach in the summer and skiing in the winter.

                                                    299 Park Avenue
                                                    New York, NY 10171
                                                    francis.lauriaiii@ubs.com
                                                    Francis Lauria
                                                    299 Park Avenue,New York,NY,10171
                                                  • Carolyn

                                                    Carolyn Forman

                                                    Director

                                                    Supervisory Officer

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                                                    • AK
                                                    • AL
                                                    • AR
                                                    • AZ
                                                    • CA
                                                    • CO
                                                    • CT
                                                    • DC
                                                    • DE
                                                    • FL
                                                    • GA
                                                    • HI
                                                    • IA
                                                    • ID
                                                    • IL
                                                    • IN
                                                    • KS
                                                    • KY
                                                    • LA
                                                    • MA
                                                    • MD
                                                    • ME
                                                    • MI
                                                    • MN
                                                    • MO
                                                    • MS
                                                    • MT
                                                    • NC
                                                    • ND
                                                    • NE
                                                    • NH
                                                    • NJ
                                                    • NM
                                                    • NV
                                                    • NY
                                                    • OH
                                                    • OK
                                                    • OR
                                                    • PA
                                                    • PR
                                                    • RI
                                                    • SC
                                                    • SD
                                                    • TN
                                                    • TX
                                                    • UT
                                                    • VA
                                                    • VI
                                                    • VT
                                                    • WA
                                                    • WI
                                                    • WV
                                                    • WY

                                                    Carolyn started in the industry in the early 80’s at Kidder Peabody in Buffalo, NY.  Hired as a Client Service Associate, she was promoted to Operations Manager a short time later.  Having taken time off to get married and raise a family, she returned to the industry as a margin clerk at Prudential Securities.  While at Prudential, she was one of eight employees asked to participate in a manager training program.  Shortly after joining the program Carolyn was promoted to Operations Manager and relocated to Binghamton, NY.  After two years in Binghamton, Carolyn was relocated to Prudential’s Stamford, Connecticut office where she continued to serve as Operations Manager.  In 1998 Carolyn moved to PaineWebber, now UBS, in NYC as Administrative/Compliance manager where she is currently performing duties as a Supervisory Officer in the 299 Park Avenue branch.

                                                          299 Park Avenue
                                                          New York, NY 10017
                                                          carolyn.forman@ubs.com
                                                          Carolyn Forman
                                                          299 Park Avenue,New York,NY,10017
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                                                          Francis Wacenske

                                                          Director

                                                          Supervisory Officer

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                                                          • NY

                                                                Home Worker NY
                                                                Home Worker NY, NY 000
                                                                francis.wacenske@ubs.com
                                                                Francis Wacenske
                                                                Home Worker NY,Home Worker NY,NY,000
                                                              • Sabrina

                                                                Sabrina Katwaroo

                                                                Associate Director

                                                                Digital Specialist

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                                                                  Sabrina is the Digital Specialist for the 299 Park Ave branch. She acts as an internal consultant to provide Financial Advisors and Team Associates with personalized in-person and remote support for all digital tools used at UBS. She works closely with the rest of the management team to determine a comprehensive plan that promotes technology and serves advisors, their teams and clients. Sabrina also speaks with clients to enhance their understanding and usage of the digital tools available at UBS.

                                                                  Prior to joining UBS in May 2018, Sabrina was in retail banking for 11 years. She was previously an Assistant Branch Manager at PNC Bank where she managed a team and conducted face to face meetings with clients on a daily basis. Sabrina earned a Bachelor of Science in Finance from Kean University. In her free time she enjoys spending time with her family and friends, traveling, concerts and reading mysteries and biographies.  Sabrina currently resides in North Brunswick, New Jersey.

                                                                        61 South Paramus Road
                                                                        4th Floor
                                                                        Paramus, NJ 07652
                                                                        sabrina.katwaroo@ubs.com
                                                                        Sabrina Katwaroo
                                                                        61 South Paramus Road,Paramus,NJ,07652
                                                                      • Quinn

                                                                        Elizabeth Quinn

                                                                        Branch Office Administrator

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                                                                          Elizabeth Quinn joined the 299 Park Avenue branch as a Branch Office Administrator in September of 2021. She works with all members of the NYC Central Market Management Team and primarily assists with day-to-day administrative tasks. Prior to joining UBS, Elizabeth earned her Bachelors degree in Biology with minors in Chemistry and Mathematics at Saint Michael’s College in Vermont. She currently lives in NYC and enjoys running, traveling, and spending time with family and friends.

                                                                                299 Park Avenue
                                                                                New York, NY 10017
                                                                                elizabeth.quinn@ubs.com
                                                                                Elizabeth Quinn
                                                                                299 Park Avenue,New York,NY,10017
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                                                                                Mo Buckner

                                                                                Authorized Officer

                                                                                Wealth Planning Associate

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                                                                                • AK
                                                                                • AL
                                                                                • AZ
                                                                                • CA
                                                                                • CO
                                                                                • CT
                                                                                • DC
                                                                                • DE
                                                                                • FL
                                                                                • GA
                                                                                • HI
                                                                                • IA
                                                                                • ID
                                                                                • IL
                                                                                • IN
                                                                                • MA
                                                                                • MD
                                                                                • ME
                                                                                • MI
                                                                                • MN
                                                                                • MO
                                                                                • MT
                                                                                • NH
                                                                                • NJ
                                                                                • NV
                                                                                • NY
                                                                                • OH
                                                                                • OK
                                                                                • OR
                                                                                • PA
                                                                                • RI
                                                                                • SC
                                                                                • TN
                                                                                • TX
                                                                                • UT
                                                                                • VA
                                                                                • VT
                                                                                • WA
                                                                                • WI
                                                                                • WY

                                                                                Mo Buckner began her career at UBS in 2017 as a Branch Office Administrator and Technology Liaison in the Boston Private Wealth Office. After wearing many hats, she transitioned to a Client Service Associate on a multibillion-dollar team and for the Northeast PWM market. She currently works in the 299 Park office as a Wealth Planning Associate. Mo is a graduate of UMass Boston. She also holds a Graduate Certificate in International Business from Northeastern University and is currently pursuing her MBA . In her spare time, she enjoys exploring NYC and spending time with family

                                                                                      299 Park Avenue
                                                                                      New York, NY 10017
                                                                                      mo.buckner@ubs.com
                                                                                      Mo Buckner
                                                                                      299 Park Avenue,New York,NY,10017

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