Kim has 32 years' experience in financial services. During that time, she has worked both in the field and the home office at UBS and formerly Piper Jaffray, Inc. She was a regional and complex manager for over a decade, and has covered a number of areas, including retirement program management, recruiting and training. Kim was the Chief of Staff for the CEO and Head of WM Communication in the home office of Weehawken, NJ. Until recently, she was the Complex Director responsible for offices in Northbrook, Barrington and Wisconsin prior to taking the helm in downtown Chicago where she leads the UBS Wealth Management Chicago Tower Complex.
She has led "Leading for Growth" programs in the U.S. and Switzerland for UBS managers throughout the world. Kim hold FINRA Series 3, 7, 9, 10 and 66 licenses and is a Certified Cash Manager. She attended the Fuqua School of Business Executive Education Advanced Management Program at Duke University and the Securities Industry Institute at the Wharton School, University of Pennsylvania. She graduated from Minnesota State University in Mankato, Minnesota, with a degree in marketing and management. In 2013 Kim was awarded with the Edward J. Connolly Leadership Award, a prestigious award, honoring a UBS branch manager who exemplifies excellence, leadership, integrity, courage and a never ending passion to help people.
Originally from Alexandria and Minneapolis, Minnesota, Kim and her husband Tom Elsen, live in Chicago. Her son and his family, including Kim's two grandchildren, Andrew and Stephanie, live in Minneapolis. Kim enjoys sailboat racing, travel and running. She was a trustee of Minnesota Public Radio and participates in various CCFA, YWCA and other community programs.
Geoffrey, a 20 year veteran of the financial services industry began his career in 1990 as a financial advisor, Branch Manager, and Regional Director at a privately held investment firm. From 1998-2007, Geoffrey was the Complex Manager at Morgan Stanley for Cleveland, Chicago and Detroit. He joined Merrill Lynch in 2007 to become their Regional Sales Manager overseeing Wisconsin & Illinois. Currently, he is the Resident Manager of the UBS Tower Wealth Management office in Downtown Chicago. He and his wife reside in Winnetka, IL with their two children.
Jim Schmid has over 16 years of experience in the Financial Services industry. He began his career in 1995 as a Branch Office Administrator with Edward Jones. In 1996 he became an Investment Representative with Edward Jones and opened an office in Mauston, WI. Jim joined UBS in 2004 as a Financial Advisor in Madison, WI. In 2006 he made the transition into management as the Operations Manager for the UBS branch in Madison, WI and in 2007 he became the Administrative Manager. Jim joined the Chicago Tower this May as the Complex Administrative Manager.
Jeff has over 25 years experience in the Financial Services Industry. His career began in 1987 at Charles Schwab, where he gained experience in many areas of operations, trading, call center management, and branch management. He spent two years at Oppenheimer & Co's Chicago office as the compliance manager and in 1998 moved to Bear, Stearns & Co. Inc. as the Compliance Manager. In 2008, after the purchase of Bear Stearns by JP Morgan, Jeff was named the Chicago Regional Supervisory Manager for the retail office. Jeff joined our UBS Chicago Tower Complex team in September 2012.
Nancy has over 20 years of experience in the brokerage industry, most recently as Vice President/Senior Compliance Manager for a bank broker/dealer/RIA in the Chicago area. Her experience has been primarily in Compliance, Anti-Money Laundering (AML) surveillance and Operations and responsibilities have included oversight of legal compliance with all applicable SEC, FINRA and State Securities laws. Nancy joined UBS in 2013 as their Business Risk Analyst.
After beginning her career in the futures industry with Citibank, Pam Cain joined the Wealth Management division of Morgan Stanley Smith Barney. She was a Client Service Associate prior to becoming a member of the management team where she held the positions of Branch Administrator followed by Complex Service Manager. In 2012 Pam joined the UBS Tower Chicago Complex bringing over 30 years of account management and development experience. Pam also brings a wealth of knowledge in human resources, branch administration, business startup, arbitrage and customer trading experience to the team.
Molly has over 6 years experience in the Financial Services industry, spending her entire career at UBS. Originally joining UBS at the 1285 Avenue of the Americas office in New York City, Molly has held every position within operations. In 2011 she joined UBS Private Wealth management as Branch Operations Manager in the New York City office, where she developed strong relationships with the advisors, support team and management in the complex. With the UHNW nature of the business, she is familiar with complex client relationships and related requirements. Molly made the move to Chicago Complex in May 2013 and continues to focus on day to day operations and maintaining high standards of excellence within the operations department.
Justin joined UBS in 2009 as a member of the WM Americas Graduate Training Program (GTP), a two-years rotational management experience designed to provide broad exposure to various business areas throughout UBS. His rotations included a variety of product, sales and strategy roles and he also rotated in the UBS' Downtown Los Angeles office. In January 2011, he placed out of the GTP program to work in UBS Wealth Management Advisor Group, working across business areas to support advisors and their clients. In August 2013, Justin joined the Chicago Complex as their Assistant Complex Director. In his role, he helps advisors grow and manage their business and leverages UBS's platform and his strong home office relationships to provide the best solutions for clients.
Justin graduated from Bucknell University in Lewisburg, PA with a bachelor of science in Economics. He currently holds his Series 7, 9, 10 and 66 licenses. He is an avid traveler and was also a member of the men's basketball team during his time at Bucknell.
Richard has over 25 years of experience in the Financial Services industry. He has held various positions in regional and national firms in Minneapolis, MN and Seattle, WA. He began his career at UBS in 2006 in Madison, WI and prior to taking his current position in Chicago worked as a Control Analyst at the UBS Corporate Center in Weehawken, NJ.
Kyla began her career in the Financial Services Industry and at UBS in 2012. Currently, Kyla is the Branch Office Administrator for the Wealth Management Chicago Complex as part of the office leadership team. She is passionate about contributing to the culture of UBS in a positive way. She holds a Bachelor of Business Administration from the University of Kentucky with an area of concentration in Business Management and is looking forward to taking the next steps in developing within her career.
Kyla speaks conversational Japanese and enjoys learning about other cultures, business networking, painting and event planning, as well as spending time with friends and family. She is third eldest of twelve siblings, who still reside in her hometown of Louisville, KY.
Paul has over 9 years of experience in the Financial Services industry, joining UBS in October 2013 as their Assistant Operations Manager. Prior to joining UBS, he was a Credit Officer at Wedbush Morgan Securities in Los Angeles, CA, a Client Services Representative at Newedge in Chicago, IL, and an Operations Liaison at Wells Fargo Advisors in Chicago, IL.
Paul graduated from the University of Notre Dame in Notre Dame, IN with a Bachelor of Business Administration in Finance and obtained his M.B.A from Dominican University in River Forest, IL. He holds Series 3, 4, 7, 9, 10, 53, 63, and 66 licenses. He and his wife reside in Forest Park, IL with their son, Samson. They are expecting their second child in the fall of 2014.
Lulu joined UBS in July 2013 as the Chicago Tower Complex's Wealth Planning Analyst where she works with Financial Advisor teams and is responsible for assisting with client's financial planning needs. Prior to joining UBS, she was an associate at KPMG Advisory. Lulu graduated from the University of Notre Dame with a Bachelor of Business Administration in Finance. She is a licensed CPA in the State of Illinois, and also holds her Series 7 and 66 licenses. Outside of work, Lulu enjoys travel, Pilates, photography, and spending time with friends and family.
Registered States: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, 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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY