Lasting relationships

Understanding what matters most to you

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.

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How UBS empowers our financial advisors

UBS Advisors are among the top in the industry. They’re backed by a wealth management leader with insights into key global markets and 160 years’ experience providing best-in-class advice and solutions to some of the world’s wealthiest individuals and families.

Explore if UBS is the right fit for you

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.

Jim Miller

Executive Director

Market Director
View bio
- 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
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 instructor.
- Saint Louis University, Bachelor's of Science in Psychology
- Iona College, Master's of Business Administration
8 Wright Street
3rd Floor
Westport, CT 06880

jim.miller@ubs.com

Jim Miller

8 Wright Street,Westport,CT,06880
David King

Director

Associate Market Executive
View bio
- CT
- FL
- MA
- NJ
- NY
265 Church Street
Suite 1102,
New Haven, CT 06510

david.king@ubs.com

David King

265 Church Street,New Haven,CT,06510
Danielle Fujioka

Director

Supervisory Officer
View bio
- CT
- MA
- NJ
- NY
600 Washington Blvd
Stamford, CT 06901

danielle.fujioka@ubs.com

Danielle Fujioka

600 Washington Blvd,Stamford,CT,06901
Charles Patti Jr.

Associate Director

Branch Operations Manager
View bio
- CT
- NY
Charlie began his career in the financial services industry in 1989 working with John Hancock Financial Services. In addition to his current role as Administrative Manager of both the Westport and New Haven offices, he has held various positions at financial institutions including Supervisory Principal and Operations Manager. Charlie joined UBS in 2006 as Administrative Manager in the Stamford office and joined the New Haven office in 2010. He holds FINRA Series 6, 7, 9, 10 and 63 security licenses as well as various insurance licenses. Charlie received a B. S. degree in Education from Rhode Island College.
- Rhode Island College, B.S. Education
8 Wright Street
3rd Floor
Westport, CT 06880

charles.patti@ubs.com

Charles Patti Jr.

8 Wright Street,Westport,CT,06880
Alex Gunn

Associate Director

Admin Manager
View bio
- 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
As the Administrative Officer, Alex 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, Alex spent 7 years at Fidelity Investments in a multitude of positions. Starting as a Credit Risk Analyst, he then transitioned to a Financial Representative for Fidelity’s Personal Investing Unit, and then most recently served as a Service Specialist in Fidelity’s Wealth Management Service Group.

Alex earned his B.A. in Political Science from Miami University (OH). He is also FINRA registered holding his Series 7, 66, and 9/10 Licenses.

Born and raised in Darien. CT, Alex enjoys spending time either on the water or on the golf course. His hobbies include playing Chess and spending time with his siblings/family who still live in the area. One of Alex’s goals is to try and visit every national park in the USA!
100 West Putnam Ave
2nd Floor
Greenwich, CT 06830

alex.gunn@ubs.com

Alex Gunn

100 West Putnam Ave,Greenwich,CT,06830
Lisa Pezzella

Trade & Processing Specialist
View bio
8 Wright Street
3rd Floor
Westport, CT 06880

lisa.pezzella@ubs.com

Lisa Pezzella

8 Wright Street,Westport,CT,06880

Jim Miller

Executive Director

Market Director
View bio
- 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
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 instructor.
- Saint Louis University, Bachelor's of Science in Psychology
- Iona College, Master's of Business Administration
8 Wright Street
3rd Floor
Westport, CT 06880

jim.miller@ubs.com

Jim Miller

8 Wright Street,Westport,CT,06880
David King

Director

Associate Market Executive
View bio
- CT
- FL
- MA
- NJ
- NY
265 Church Street
Suite 1102,
New Haven, CT 06510

david.king@ubs.com

David King

265 Church Street,New Haven,CT,06510
Danielle Fujioka

Director

Supervisory Officer
View bio
- CT
- MA
- NJ
- NY
600 Washington Blvd
Stamford, CT 06901

danielle.fujioka@ubs.com

Danielle Fujioka

600 Washington Blvd,Stamford,CT,06901
Charles Patti Jr.

Associate Director

Branch Operations Manager
View bio
- CT
- NY
Charlie began his career in the financial services industry in 1989 working with John Hancock Financial Services. In addition to his current role as Administrative Manager of both the Westport and New Haven offices, he has held various positions at financial institutions including Supervisory Principal and Operations Manager. Charlie joined UBS in 2006 as Administrative Manager in the Stamford office and joined the New Haven office in 2010. He holds FINRA Series 6, 7, 9, 10 and 63 security licenses as well as various insurance licenses. Charlie received a B. S. degree in Education from Rhode Island College.
- Rhode Island College, B.S. Education
8 Wright Street
3rd Floor
Westport, CT 06880

charles.patti@ubs.com

Charles Patti Jr.

8 Wright Street,Westport,CT,06880
Alex Gunn

Associate Director

Admin Manager
View bio
- 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
As the Administrative Officer, Alex 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, Alex spent 7 years at Fidelity Investments in a multitude of positions. Starting as a Credit Risk Analyst, he then transitioned to a Financial Representative for Fidelity’s Personal Investing Unit, and then most recently served as a Service Specialist in Fidelity’s Wealth Management Service Group.

Alex earned his B.A. in Political Science from Miami University (OH). He is also FINRA registered holding his Series 7, 66, and 9/10 Licenses.

Born and raised in Darien. CT, Alex enjoys spending time either on the water or on the golf course. His hobbies include playing Chess and spending time with his siblings/family who still live in the area. One of Alex’s goals is to try and visit every national park in the USA!
100 West Putnam Ave
2nd Floor
Greenwich, CT 06830

alex.gunn@ubs.com

Alex Gunn

100 West Putnam Ave,Greenwich,CT,06830
Lisa Pezzella

Trade & Processing Specialist
View bio
8 Wright Street
3rd Floor
Westport, CT 06880

lisa.pezzella@ubs.com

Lisa Pezzella

8 Wright Street,Westport,CT,06880

Defining your priorities. Pursuing what matters.

Our experience and structured planning process drives a comprehensive financial plan and customized investment strategies. Depending on where you are in your life and the priorities that matter most, our planning conversations may focus on liquidity management, your cash flow needs, asset replacement solutions such as insurance, estate planning strategies, or tax and legal structures such as trusts and philanthropic vehicles.

Turn possibilities into a plan

What’s really important to you—today and for the long term? UBS Wealth Way starts with questions and discussions that can help you organize your financial life into three key dimensions: Liquidity—to help provide cash flow for short-term expenses, Longevity—for longer-term needs and Legacy—for needs that go beyond your own.

^{UBS Wealth Way is an approach incorporating Liquidity. Longevity. Legacy. strategies that UBS Financial Services Inc. and our Financial Advisors can use to assist clients in exploring and pursuing their wealth management needs and goals over different time frames. This approach is not a promise or guarantee that wealth, or any financial results, can or will be achieved. All investments involve the risk of loss, including the risk of loss of the entire investment. Time frames may vary. Strategies are subject to individual client goals, objectives and suitability.}

House View Monthly

Watch the replay of the CIO House View monthly livestream for a conversation with David Lefkowitz, Head of US Equities; Kurt Reiman, Head of Fixed Income; and Jay Dobson, US Energy & Utilities Strategist; where they discussed the latest developments of the Middle East escalation, AI disruption, updates on tariffs, and the market implications of these topics as well as what it all means for your portfolio. The discussion was hosted by Nadia Lovell, Head of Global Equity Strategy & Management.

March 05, 2026

A leading global wealth manager

Clarity in a rapidly changing world

We’re here to help guide you through uncertain times

Recent global events have created volatility in the markets and uncertainty for many investors like you. With our experienced perspective we can deliver steady guidance to help you make sense of the changing markets.

Let’s create a path together so you can move forward with confidence, no matter what comes next.

A leader in wealth management

Backed by the strength of our parent company, UBS AG

^$7 trn

UBS Group invested assets
As of 12/31/2025

51 countries

Our global footprint

Global leader

UBS is a leading and truly global wealth manager

Lasting relationships

How UBS empowers our financial advisors

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Pursuing your goals together

Jim Miller

David King

Danielle Fujioka

Charles Patti Jr.

Alex Gunn

Lisa Pezzella