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UBS is a leading and truly global wealth manager
Where are you today and where do you want to be tomorrow? We recognize that a lasting relationship starts by listening and understanding your priorities and concerns. We'll work together to look at the big picture, discuss your vision for the future and help you confidently pursue your life goals.
Recognized as the Best Bank in North America for Wealth Management (source: Euromoney, 2021), UBS has financial advisors who are best-in-class in the industry. Locally in the Soundview Market, our advisor teams enjoy the best of both worlds: the resources of a global wealth management firm – the only true global platform servicing high net worth and ultra high net worth clients – and a strong local leadership team who are focused on what’s important – serving our advisors and our clients in every way, as conveyed in our Soundview hashtag.
#BestTeamBestPeopleBestCulture
Mara brings a unique blend of knowledge, experience, and advocacy for Financial Advisors to her role as Market Executive. Mara began her career on the investment side in the equity business, later moving onto the liability side, driving the lending business, before becoming the Head of National Sales for Wealth Management. Recognized as a leader in the organization, Mara has been the recipient of internal leadership awards as well as being inducted into the YWCA-NYC Academy of Women Achievers. She brings this leadership, experience, and advocacy to the Greater New York Metro Market.
As a Managing Director and Market Executive of the Greater New York Market, Mara oversees 18 UBS offices across Long Island, Westchester, Connecticut, and New Jersey. Mara has consistently outperformed for nearly a decade building and growing the Market of choice for high net worth and ultra-high net worth clients, as well as employees. She is committed to efficiency, developing applicable solutions, and using a wide variety of resources and strategies to assist Financial Advisors in their growth. As an active Leadership Council Member and facilitator of Leading the Future, Mara proves to focus her efforts on strengthening the industry’s leaders in hopes of achieving the premier wealth management experience for all. Mara’s combination of culture, strong sense of client focus and ability in helping Financial Advisors speaks volumes to her success in the field.
In her previous role as Head of National Sales for Wealth Management Americas, Mara oversaw the management and coordination of the firm’s sales strategy in partnership with senior leadership, field management and other key stakeholders across UBS AG. Among her accomplishments was building—from ground up best-in-class coaching and teaming platforms.
John joined UBS in 2015. John is a Market Director and brand ambassador for the entire Greater New York Metro Market. John believes that collaboration and commitment to both his clients and advisors are the keys to retention and growth. John splits his time between all of the branches.
John has spent his entire career in the financial services industry, starting as a Financial Advisor at Morgan Stanley/Dean Witter in 1993. He moved into branch management in 1997 running the Smithtown, NY office and went on to hold key management positions in NYC, Connecticut and Atlanta, GA.
Prior to joining UBS, John spent three years at Barclays Wealth Management as the Atlanta Regional Manager where he was responsible for all aspects of the Wealth Management business in the region including growing the High Net Worth and Ultra High Net Worth Business.
In addition to his commitment to his clients and advisors, John takes an active role in his community.
John holds FINRA Series 3, 7, 8, 31, 63 securities licenses. He received his B.S. in Management from Bentley University.
Amanda Librizzi is an Executive Director at UBS Financial Services and serves as the Senior Market Director for Long Island & Westchester, leading the Garden City, Jericho & Purchase, NY office(s), with additional strategic focus in Melville & Southampton. As a Senior Market Director, Amanda is focused on supporting the growth of the Financial Advisors across the market through ongoing coaching and being their partner in navigating and "delivering the firm" for our High Net Worth and Ultra High Net Worth clients and prospects.
In her 15+ year tenure with UBS, Amanda has held various roles in the Private Bank, Client Advisory Group, FA Recruiting and Branch Management bringing a background of sales, strategy and talent management to her role. She holds several securities licenses: series 3 (commodities), series 7 (securities representative), 66 (investment advisor), 9 (securities sales supervisor/options) and 10 (general securities sales supervisor), as well as accident and health, variable life insurance and annuities licenses.
Amanda graduated from Syracuse University with a BS in Sociology and a Minor in Communications. She lives on Long Island with her Husband, Joe, their son, Landon and daughter, Ava.
Helen Minieri Stacy, CFP®, joined the UBS Southampton office in 2004. She is an Executive Director, Branch Manager and Senior Vice President – Wealth Management. Her responsibilities include supervising the office, as well as, providing holistic wealth management and retirement planning to high net worth individuals, their families and businesses.
Under her leadership, the Southampton office is dedicated to fostering an excellent client experience and partnering with clients to pursue what matters most in their lives through UBS Wealth Way. The branch culture is unique for the financial industry, it focuses on volunteerism and community involvement.
Her professional credentials include being FINRA registered with Series 3,7, 8, 63, and 65 along with life insurance and variable annuity licenses. Her financial career began in 1988 on Wall Street and she relocated to the Hamptons in 1991.
She supports women's initiatives, was the Past President of East End Women's Network (2016-2018) and voted by her peers as 2019 Women of the Year. She supports their annual EEWN Scholarship program.
Helen holds a Bachelor of Arts degree in Education from St. Joseph's College, Brooklyn, New York. Her studies continued at Southampton Campus of Long Island University, where she completed the Certified Financial Planning Program and became a Certified Financial Planner in 2003.
She enjoys being outdoors, playing tennis, golf, kayaking and spending time cooking with her husband and family.
Glenn DePalma is an Executive Director at UBS Financial Services and serves as the Market Director for the Melville, NY office.
Glenn has been in the financial services industry since 1992. He started his career as a Financial Advisor/Registered Representative at TD Ameritrade where he spent the majority of his early career. He also served in various management roles within that organization such as Branch Manager of their largest U.S. retail office, manager of their East Coast call center and V.P. of Trade Support and Electronic Trading Units. He eventually became the Senior Compliance Officer for TD’s clearing broker-dealer, National Investor Services Corp. Glenn joined UBS in 2007 as a member of the Compliance Risk Assessment Group and then Control Officer of the 1285 Avenue of the Americas Branch.
In 2011, Glenn joined the Garden City Branch as a Complex Administrative Manager and in November 2013 returned to the 1285 Complex as the Lead Control Officer. In July 2016 Glenn was promoted to Assistant Complex Director for the Private Wealth Management branch within the 1285 Complex and shortly afterwards he joined what is now known as the Long Island Complex of the Soundview Market. In 2022, Glenn was promoted to his current position as Market Director.
Jim Miller joined UBS is 2012 and is the Associate Market Executive for the Soundview Market.
In his role as Associate Market Executive, Jim is focused on supporting and driving business growth for approximately 200 Financial Advisors in eight locations overseeing more than 30 billion in assets.
Prior to joining UBS, Jim’s Financial Services career spanned roles in consulting and management including as a producing Branch Manager at AXA Private Markets and the Director of Compliance and Operations at MetLife Securities.
Jim is NYS Insurance licensed and holds FINRA Series 4, 7, 24, 53, 66 licenses. Jim holds a Bachelor’s of Science in Psychology from Saint Louis University and a Masters of Business Administration from Iona College.
Jim lives in New Rochelle, NY with his wife Pam. He is a passionate outdoorsman having spent time as a certified river guide, as well as ski, kayaking, and stand-up paddleboard instructor.
As the Complex Admin Manager, Anthony is responsible for hiring, training, developing, and supervising staff, as well as ensuring efficient branch administration and a positive experience for the clients we serve. Prior to this role, Anthony served as a Digital Specialist, focused on training financial advisors and their teams on the utilization of digital tools and technology to create efficiencies in their practice and help grow the business.
Anthony earned his B.S. in Finance with a concentration in Value Investing from Fordham University. He is also FINRA registered holding his Series 7, 66, 9, and 10.
Born and raised in Queens, NY, Anthony likes to spend his time outside the office with friends and family, sports (both playing and watching), and exploring New York City.
Steadiness
It comes from experience.
Gabe joined UBS in 2016 and is currently Market Director of the UBS Hartford, New Haven, and New London branch offices. Gabe has been in the Wealth Management Industry for over 25 years, beginning his career as a Financial Advisor and Branch Manager at Morgan Stanley Smith Barney. In 2010, Gabe moved to Merrill Lynch and assumed various roles as COO Merrill Lynch, New England Region; Vice President, Capacity & Initiative Management; Vice President, Sales Manager Merrill Edge.
Gabe received his Bachelor of Science in Textile Technology & Design from the Fashion Institute of Technology and an MBA from Northeastern University in Corporate Finance.
Originally from Bronx, New York, and currently resides in CT with his wife Barb. Gabe enjoys skiing and biking (mountain and road).
As Market Director of the UBS Wealth Management Red Bank and Wall, NJ offices, Michele serves as an advocate and partner to the financial advisors and team associates that deliver complete wealth management advice to their clients. Her top priority is to clear roadblocks to enable our financial advisors and team associates to focus on what they do best, helping clients achieve their personal and financial goals.
Prior to this role Michele was an Assistant Market Head for the Northern NJ Market supporting 8 offices in NJ with a focus on sales support.
Michele grew up in Red Bank, NJ and graduated from The College of New Jersey with a B.S. in Accounting. She currently lives in Red Bank, NJ and enjoys trying new local restaurants, the jersey shore beaches and Siesta Key Florida.
Kathleen "Kathy" Ferraro serves as Market Director and Executive Director for the UBS Greater New York Market. Kathy oversees the Greenwich CT and Stamford CT Wealth Management and Private Wealth Management offices. She has extensive experience in the financial services industry. Prior to joining UBS in May of 2025, Kathleen was the Market Manager for Morgan Stanley for the South Shore of Boston and the Cape. Prior to Morgan Stanley she was at Gruntal & Company in Stamford CT and The First National Bank of Chicago in New York City. Kathleen was a President’s Council Advisor at Smith Barney before she changed course and joined the management team.
Her main objective is to be a partner with her advisors and employees to deliver world-class service to their High Net Worth and Ultra High Net Work clients and prospects. She is an advocate for her people and growth minded. In 2020, she was inducted into Morgan Stanley's MAKER's Class of 2020. She is a passionate advocate for authenticity, diversity, and inclusion.
Kathleen holds a degree in Business and Marketing from The University of Tampa. She and her husband, Anthony, have three children, Vincent; Gabriella; and Anthony, Jr. live in Greenwich CT.
Kathleen supports numerous charitable organizations, including Cooley’s Anemia Foundation, The American Cancer Society, St. Jude’s Children’s Hospital, The Gravinese Mutual Aid Society, and others. Lifting up the next generation of female professionals is a passion of Kathleen’s. She is involved with Invest in Girls and Power to Fly, both of which promote financial literacy for girls and help them prepare for the workplace through mentoring, coaching and resume assistance.
Patrick Gardner is an Associate Director at the firm, working as an Assistant Market Head for the Northern NJ Market in Wealth Management USA.
Patrick is a graduate of Fordham University where he majored in Economics and was the captain for the University's division baseball team. He has been at UBS since 2017 where he started in Real Estate Portfolio Management working on general business management and corporate real estate related projects. Prior to joining the Northern New Jersey Market in 2022, Patrick worked for the FA Recruiting Department where he partnered with field leaders to recruit FA talent to the firm.
Patrick is originally from Caldwell , NJ and resides in Hoboken. He enjoys playing golf, running and watching sports in his free time.
Director
Market Administrative Officer
Armando is the Market Administrative Officer for the Soundview Market and has over 28 years of financial services related experience. He oversees all administrative and staffing functions while being responsible for 150 Team Associates, 3 Administrative Managers, 3 Branch Office Administrators, and a Market Operations Manager. He joined UBS in 2007 and has been an Operations Manager, Administrative Manager, Complex Administrative Manager, Team Administrative Manager, Assistant Branch Manager and Market Administrative Officer. While working as a Team Administrative Manager, he was responsible for running the day to day operations for a $6 million wealth management team.
In terms of awards, Armando has been recognized with a UBS Leadership Award in 2013 for outstanding service to the firm in creating positive experience for clients. In 2018, he was selected to participate on the UBS AMAC Council, which worked with UBS leadership to help shape the firm’s direction and priorities for the year.
Armando has obtained the CRPC® designation while also holding the Series 3, Series 4, Series 7, Series 9/10, Series 24, and Series 63. In addition, he is also an insurance agent for Life, Accident and Health and Variable Life/Variable Annuities.
Director
Market Supervisory Officer
Laura is the Market Supervisory Officer for the Soundview Market, coordinating supervision across eight offices and four Supervisory Officers.
She began her career at Morgan Stanley in Private Wealth Management in 2005 working with the Sales Management team handling syndicate, compensation, recruiting and onboarding, reporting and events for UHNW clients. From there, she transitioned to a supervisory role as Complex Risk Officer dealing with International, Institutional, DVP/RVP, FX, Futures, Foundation, Family Office, PDP and Individual accounts. Laura brings her experience from both the sales and supervisory roles to work closely with advisors and their teams to find solutions to time-sensitive and complex client issues and requests.
At UBS, she co-chairs the AMAC Council, which works with UBS leadership to help to prioritize the firm's initiatives, and was nominated to the Key Talent Leadership program in 2019. She received her undergraduate degree from Boston University and her MBA from NYU Stern School of Business. She maintains her Series 7, 66, 9, 10, 3, and Insurance licenses, and is also a Notary Public.
Originally from Oregon, she lives in Long Island City with her husband and their beagle puppy, and spends as much time as possible on the water during the summer and skiing during the winter months.
Associate Market Executive
Jim Miller joined UBS is 2012 and is the Assistant Market Head for the Soundview Market.
In his role as Assistant Market Head Jim is focused on supporting and driving business growth for approximately 200 Financial Advisors in eight locations overseeing more than 30 billion in assets.
Prior to joining UBS, Jim’s Financial Services career spanned roles in consulting and management including as a producing Branch Manager at AXA Private Markets and the Director of Compliance and Operations at MetLife Securities.
Jim is NYS Insurance licensed and holds FINRA Series 4, 7, 24, 53, 66 licenses. Jim holds a Bachelor’s of Science in Psychology from Saint Louis University and a Masters of Business Administration from Iona College.
Jim lives in New Rochelle, NY with his wife Pam. He is a passionate outdoorsman having spent time as a certified river guide, as well as ski, kayaking, and stand-up paddleboard instructorMara brings a unique blend of knowledge, experience, and advocacy for Financial Advisors to her role as Market Executive. Mara began her career on the investment side in the equity business, later moving onto the liability side, driving the lending business, before becoming the Head of National Sales for Wealth Management. Recognized as a leader in the organization, Mara has been the recipient of internal leadership awards as well as being inducted into the YWCA-NYC Academy of Women Achievers. She brings this leadership, experience, and advocacy to the Greater New York Metro Market.
As a Managing Director and Market Executive of the Greater New York Market, Mara oversees 18 UBS offices across Long Island, Westchester, Connecticut, and New Jersey. Mara has consistently outperformed for nearly a decade building and growing the Market of choice for high net worth and ultra-high net worth clients, as well as employees. She is committed to efficiency, developing applicable solutions, and using a wide variety of resources and strategies to assist Financial Advisors in their growth. As an active Leadership Council Member and facilitator of Leading the Future, Mara proves to focus her efforts on strengthening the industry’s leaders in hopes of achieving the premier wealth management experience for all. Mara’s combination of culture, strong sense of client focus and ability in helping Financial Advisors speaks volumes to her success in the field.
In her previous role as Head of National Sales for Wealth Management Americas, Mara oversaw the management and coordination of the firm’s sales strategy in partnership with senior leadership, field management and other key stakeholders across UBS AG. Among her accomplishments was building—from ground up best-in-class coaching and teaming platforms.
John joined UBS in 2015. John is a Market Director and brand ambassador for the entire Greater New York Metro Market. John believes that collaboration and commitment to both his clients and advisors are the keys to retention and growth. John splits his time between all of the branches.
John has spent his entire career in the financial services industry, starting as a Financial Advisor at Morgan Stanley/Dean Witter in 1993. He moved into branch management in 1997 running the Smithtown, NY office and went on to hold key management positions in NYC, Connecticut and Atlanta, GA.
Prior to joining UBS, John spent three years at Barclays Wealth Management as the Atlanta Regional Manager where he was responsible for all aspects of the Wealth Management business in the region including growing the High Net Worth and Ultra High Net Worth Business.
In addition to his commitment to his clients and advisors, John takes an active role in his community.
John holds FINRA Series 3, 7, 8, 31, 63 securities licenses. He received his B.S. in Management from Bentley University.
Amanda Librizzi is an Executive Director at UBS Financial Services and serves as the Senior Market Director for Long Island & Westchester, leading the Garden City, Jericho & Purchase, NY office(s), with additional strategic focus in Melville & Southampton. As a Senior Market Director, Amanda is focused on supporting the growth of the Financial Advisors across the market through ongoing coaching and being their partner in navigating and "delivering the firm" for our High Net Worth and Ultra High Net Worth clients and prospects.
In her 15+ year tenure with UBS, Amanda has held various roles in the Private Bank, Client Advisory Group, FA Recruiting and Branch Management bringing a background of sales, strategy and talent management to her role. She holds several securities licenses: series 3 (commodities), series 7 (securities representative), 66 (investment advisor), 9 (securities sales supervisor/options) and 10 (general securities sales supervisor), as well as accident and health, variable life insurance and annuities licenses.
Amanda graduated from Syracuse University with a BS in Sociology and a Minor in Communications. She lives on Long Island with her Husband, Joe, their son, Landon and daughter, Ava.
Helen Minieri Stacy, CFP®, joined the UBS Southampton office in 2004. She is an Executive Director, Branch Manager and Senior Vice President – Wealth Management. Her responsibilities include supervising the office, as well as, providing holistic wealth management and retirement planning to high net worth individuals, their families and businesses.
Under her leadership, the Southampton office is dedicated to fostering an excellent client experience and partnering with clients to pursue what matters most in their lives through UBS Wealth Way. The branch culture is unique for the financial industry, it focuses on volunteerism and community involvement.
Her professional credentials include being FINRA registered with Series 3,7, 8, 63, and 65 along with life insurance and variable annuity licenses. Her financial career began in 1988 on Wall Street and she relocated to the Hamptons in 1991.
She supports women's initiatives, was the Past President of East End Women's Network (2016-2018) and voted by her peers as 2019 Women of the Year. She supports their annual EEWN Scholarship program.
Helen holds a Bachelor of Arts degree in Education from St. Joseph's College, Brooklyn, New York. Her studies continued at Southampton Campus of Long Island University, where she completed the Certified Financial Planning Program and became a Certified Financial Planner in 2003.
She enjoys being outdoors, playing tennis, golf, kayaking and spending time cooking with her husband and family.
Glenn DePalma is an Executive Director at UBS Financial Services and serves as the Market Director for the Melville, NY office.
Glenn has been in the financial services industry since 1992. He started his career as a Financial Advisor/Registered Representative at TD Ameritrade where he spent the majority of his early career. He also served in various management roles within that organization such as Branch Manager of their largest U.S. retail office, manager of their East Coast call center and V.P. of Trade Support and Electronic Trading Units. He eventually became the Senior Compliance Officer for TD’s clearing broker-dealer, National Investor Services Corp. Glenn joined UBS in 2007 as a member of the Compliance Risk Assessment Group and then Control Officer of the 1285 Avenue of the Americas Branch.
In 2011, Glenn joined the Garden City Branch as a Complex Administrative Manager and in November 2013 returned to the 1285 Complex as the Lead Control Officer. In July 2016 Glenn was promoted to Assistant Complex Director for the Private Wealth Management branch within the 1285 Complex and shortly afterwards he joined what is now known as the Long Island Complex of the Soundview Market. In 2022, Glenn was promoted to his current position as Market Director.
Jim Miller joined UBS is 2012 and is the Associate Market Executive for the Soundview Market.
In his role as Associate Market Executive, Jim is focused on supporting and driving business growth for approximately 200 Financial Advisors in eight locations overseeing more than 30 billion in assets.
Prior to joining UBS, Jim’s Financial Services career spanned roles in consulting and management including as a producing Branch Manager at AXA Private Markets and the Director of Compliance and Operations at MetLife Securities.
Jim is NYS Insurance licensed and holds FINRA Series 4, 7, 24, 53, 66 licenses. Jim holds a Bachelor’s of Science in Psychology from Saint Louis University and a Masters of Business Administration from Iona College.
Jim lives in New Rochelle, NY with his wife Pam. He is a passionate outdoorsman having spent time as a certified river guide, as well as ski, kayaking, and stand-up paddleboard instructor.
As the Complex Admin Manager, Anthony is responsible for hiring, training, developing, and supervising staff, as well as ensuring efficient branch administration and a positive experience for the clients we serve. Prior to this role, Anthony served as a Digital Specialist, focused on training financial advisors and their teams on the utilization of digital tools and technology to create efficiencies in their practice and help grow the business.
Anthony earned his B.S. in Finance with a concentration in Value Investing from Fordham University. He is also FINRA registered holding his Series 7, 66, 9, and 10.
Born and raised in Queens, NY, Anthony likes to spend his time outside the office with friends and family, sports (both playing and watching), and exploring New York City.
Steadiness
It comes from experience.
Gabe joined UBS in 2016 and is currently Market Director of the UBS Hartford, New Haven, and New London branch offices. Gabe has been in the Wealth Management Industry for over 25 years, beginning his career as a Financial Advisor and Branch Manager at Morgan Stanley Smith Barney. In 2010, Gabe moved to Merrill Lynch and assumed various roles as COO Merrill Lynch, New England Region; Vice President, Capacity & Initiative Management; Vice President, Sales Manager Merrill Edge.
Gabe received his Bachelor of Science in Textile Technology & Design from the Fashion Institute of Technology and an MBA from Northeastern University in Corporate Finance.
Originally from Bronx, New York, and currently resides in CT with his wife Barb. Gabe enjoys skiing and biking (mountain and road).
As Market Director of the UBS Wealth Management Red Bank and Wall, NJ offices, Michele serves as an advocate and partner to the financial advisors and team associates that deliver complete wealth management advice to their clients. Her top priority is to clear roadblocks to enable our financial advisors and team associates to focus on what they do best, helping clients achieve their personal and financial goals.
Prior to this role Michele was an Assistant Market Head for the Northern NJ Market supporting 8 offices in NJ with a focus on sales support.
Michele grew up in Red Bank, NJ and graduated from The College of New Jersey with a B.S. in Accounting. She currently lives in Red Bank, NJ and enjoys trying new local restaurants, the jersey shore beaches and Siesta Key Florida.
Kathleen "Kathy" Ferraro serves as Market Director and Executive Director for the UBS Greater New York Market. Kathy oversees the Greenwich CT and Stamford CT Wealth Management and Private Wealth Management offices. She has extensive experience in the financial services industry. Prior to joining UBS in May of 2025, Kathleen was the Market Manager for Morgan Stanley for the South Shore of Boston and the Cape. Prior to Morgan Stanley she was at Gruntal & Company in Stamford CT and The First National Bank of Chicago in New York City. Kathleen was a President’s Council Advisor at Smith Barney before she changed course and joined the management team.
Her main objective is to be a partner with her advisors and employees to deliver world-class service to their High Net Worth and Ultra High Net Work clients and prospects. She is an advocate for her people and growth minded. In 2020, she was inducted into Morgan Stanley's MAKER's Class of 2020. She is a passionate advocate for authenticity, diversity, and inclusion.
Kathleen holds a degree in Business and Marketing from The University of Tampa. She and her husband, Anthony, have three children, Vincent; Gabriella; and Anthony, Jr. live in Greenwich CT.
Kathleen supports numerous charitable organizations, including Cooley’s Anemia Foundation, The American Cancer Society, St. Jude’s Children’s Hospital, The Gravinese Mutual Aid Society, and others. Lifting up the next generation of female professionals is a passion of Kathleen’s. She is involved with Invest in Girls and Power to Fly, both of which promote financial literacy for girls and help them prepare for the workplace through mentoring, coaching and resume assistance.
Patrick Gardner is an Associate Director at the firm, working as an Assistant Market Head for the Northern NJ Market in Wealth Management USA.
Patrick is a graduate of Fordham University where he majored in Economics and was the captain for the University's division baseball team. He has been at UBS since 2017 where he started in Real Estate Portfolio Management working on general business management and corporate real estate related projects. Prior to joining the Northern New Jersey Market in 2022, Patrick worked for the FA Recruiting Department where he partnered with field leaders to recruit FA talent to the firm.
Patrick is originally from Caldwell , NJ and resides in Hoboken. He enjoys playing golf, running and watching sports in his free time.
Director
Market Administrative Officer
Armando is the Market Administrative Officer for the Soundview Market and has over 28 years of financial services related experience. He oversees all administrative and staffing functions while being responsible for 150 Team Associates, 3 Administrative Managers, 3 Branch Office Administrators, and a Market Operations Manager. He joined UBS in 2007 and has been an Operations Manager, Administrative Manager, Complex Administrative Manager, Team Administrative Manager, Assistant Branch Manager and Market Administrative Officer. While working as a Team Administrative Manager, he was responsible for running the day to day operations for a $6 million wealth management team.
In terms of awards, Armando has been recognized with a UBS Leadership Award in 2013 for outstanding service to the firm in creating positive experience for clients. In 2018, he was selected to participate on the UBS AMAC Council, which worked with UBS leadership to help shape the firm’s direction and priorities for the year.
Armando has obtained the CRPC® designation while also holding the Series 3, Series 4, Series 7, Series 9/10, Series 24, and Series 63. In addition, he is also an insurance agent for Life, Accident and Health and Variable Life/Variable Annuities.
Director
Market Supervisory Officer
Laura is the Market Supervisory Officer for the Soundview Market, coordinating supervision across eight offices and four Supervisory Officers.
She began her career at Morgan Stanley in Private Wealth Management in 2005 working with the Sales Management team handling syndicate, compensation, recruiting and onboarding, reporting and events for UHNW clients. From there, she transitioned to a supervisory role as Complex Risk Officer dealing with International, Institutional, DVP/RVP, FX, Futures, Foundation, Family Office, PDP and Individual accounts. Laura brings her experience from both the sales and supervisory roles to work closely with advisors and their teams to find solutions to time-sensitive and complex client issues and requests.
At UBS, she co-chairs the AMAC Council, which works with UBS leadership to help to prioritize the firm's initiatives, and was nominated to the Key Talent Leadership program in 2019. She received her undergraduate degree from Boston University and her MBA from NYU Stern School of Business. She maintains her Series 7, 66, 9, 10, 3, and Insurance licenses, and is also a Notary Public.
Originally from Oregon, she lives in Long Island City with her husband and their beagle puppy, and spends as much time as possible on the water during the summer and skiing during the winter months.
Associate Market Executive
Jim Miller joined UBS is 2012 and is the Assistant Market Head for the Soundview Market.
In his role as Assistant Market Head Jim is focused on supporting and driving business growth for approximately 200 Financial Advisors in eight locations overseeing more than 30 billion in assets.
Prior to joining UBS, Jim’s Financial Services career spanned roles in consulting and management including as a producing Branch Manager at AXA Private Markets and the Director of Compliance and Operations at MetLife Securities.
Jim is NYS Insurance licensed and holds FINRA Series 4, 7, 24, 53, 66 licenses. Jim holds a Bachelor’s of Science in Psychology from Saint Louis University and a Masters of Business Administration from Iona College.
Jim lives in New Rochelle, NY with his wife Pam. He is a passionate outdoorsman having spent time as a certified river guide, as well as ski, kayaking, and stand-up paddleboard instructorEligibility is based on quantitative factors and is not necessarily related to the quality of the investment advice. For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures.
Eligibility is based on quantitative factors and is not necessarily related to the quality of the investment advice. For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures.
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