Stephen is the Market Head of the Minnesota-Northern Plains Market for UBS Financial Services Inc. The market consists of 160 Financial Advisors servicing the wealth management needs of high net worth and ultra-high net worth clients. In 2017, he was appointed Co-Head of the firm's prestigious Leadership Advisory Council serving as an advocate for field leaders in the Central Division.

Before taking on his current role, Stephen was the Complex Director of the Central Los Angeles Complex and Branch Manager of the Downtown Los Angeles branch. In 2016 the Downtown Los Angeles branch was named UBS "Branch of the Year". Prior to running the Los Angeles business, he was Chief Operating Officer, Wealth Management Advisor Group US, a division of UBS Wealth Management Americas (WMA). The Wealth Management Advisor Group US housed the firm's 225 domestic branches. He also served as Chief Operating Officer, first for the Central Region, then for the Eastern Division.

Earlier, as Director of Talent Acquisition and PWA Recruiting, Stephen managed internal and external recruiters and supervised the firm’s national recruiting platform, focused on drawing top competitor talent to the firm.

He joined UBS in 2006 as the Branch Manager of the Greenwich, CT office and he became a member of the firm’s Director's Council in 2007.

Prior to joining UBS, Stephen served in a variety of senior field management positions - including Complex Director, Branch Manager and Sales Manager – at Wachovia Securities and Smith Barney. While at Wachovia Securities, he was a member of the Branch Manager Advisory Council. Stephen began his career at Smith Barney in 1986 as a Financial Advisor, advising high net-worth and ultra-high net worth clients. He was a member of the firm’s prestigious President’s Council and Chairman’s Council.

Stephen received his M.B.A. from Cornell University S.C. Johnson Graduate School of Management and his B.S. from Fordham University Gabelli School of Management. He has served on the board of the following not-for-profit organizations; Alzheimer's Greater Los Angeles, American Heart Association of Westchester County, Cornell Cooperative Extension of Westchester County, The New York-Presbyterian Hospital Planned Giving Advisory Board, and Westchester Arts Council.

Registered States:
AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NV, NY, OH, OK, OR, PA, RI, SC, SD, UT, VA, VT, WA, WI

Bruce grew up in New Jersey, graduated from the United States Naval Academy and went on to earn his MBA from Pepperdine University. Prior to beginning his career in the financial services industry in 1996, he served on active duty as a Naval Supply Officer for 5 years as well as 3 years in the Naval Reserves.

After 10 years as a Financial Advisor, he took on the Regional Development Officer role with the firm in 2005. Bruce and his family moved to Minneapolis in 2007 when he became the Assistant Branch Manager in the UBS Nicollet Mall office. In 2008 he was recruited by Morgan Stanley where he was a key member of the Complex management team for 5 years. After spending a year and a half as the Branch Manager of the Ameriprise office in Edina, MN, Bruce came back to UBS as the Assistant Market Head of the Minnesota Market.

He and his wife, Michiko, live in Plymouth, MN with their teenage son, Alex.

Registered States:
AK, AZ, CA, CO, FL, GA, IA, ID, IL, MI, MN, MO, MT, NC, NM, NV, NY, PA, SD, TX, UT, WA, WI

Carol has 35 years of financial services experience.  She has held various roles with the firm and is currently the Market Administrative Officer for the Minnesota Market.

Carol is in charge of training, coaching, and developing our support team members and works closely with the Administrative Managers in the Minnesota Market.  She holds 7, 9, 10, 63, and insurance professional licenses.  She and her husband, Paul, live in the western suburbs with their 2 children.

Registered States:
MN

Dan is the newest member of the UBS Minnesota Management Team joining the Minneapolis Branch of UBS in April of 2017. Dan has over 17 years in financial services experience working a variety of roles within the insurance industry and most recently spending 10 years in the RIA space with emphasis on training and development, change management, and practice development. 

Dan graduated from Saint Thomas Military Academy in 1998 and attended the University of Saint Thomas in St. Paul. He and his wife, Angie along with their three children, Breeanna, Carson and Carleigh live in Monticello, MN. 

Outside of work, Dan enjoys attending sports events for his children and spending time in "the woods." He holds his FINRA Series 7, 9, 10, 63, 65 and insurance professional licenses and is also a Certified Retirement Planning Counselor, CRPC®. 

Registered States:
MN

Sheryl has 25 years of financial services experience, with 20 of those years being at UBS.

As Market Supervisory Officer, Sheryl is in charge of identifying and mitigating risk in the Market while ensuring compliance with all risk guidelines and industry regulation requirements.

Sheryl earned a B.S. in Finance from Winona State University.  She holds 7, 9, 10, 31, 63 and insurance professional licenses.  She and her husband, David, live in southern Minnesota.

Registered States:
MN

Mary has worked at UBS for 18 years, and has been in the Financial Services industry for 21 years.  She has had several roles across the Minnesota Market, currently acting as the Supervisory Officer for the state. 

Mary graduated from the University of Minnesota – Duluth with a B.A.A. in Education. She holds the series 7, 9, 10, 31, 63, and 65 along with Health and Life Insurance licenses in the state of Minnesota.

Mary lives in New Brighton with husband Kent and their son, Sam.

Registered States:
CA, MN

Brady has worked at UBS for the past 5 years, including roles as an intern and Branch Examiner.  He now is Supervisory Officer, as of December 2018.

He graduated from Edgewood College in Madison, WI with a BS in Business: Management and a BS in Business: Finance. Currently Brady holds the Series 7 , 66, 9, 10 & 3.

Brady lives in St. Paul and enjoys going for runs, watching movies, and cheering on the Green Bay Packers and Cleveland Indians. 

Registered States:
MN

Theresa has 10 years of experience in the financial services industry, all with UBS. Prior to UBS, she spent 5 years in banking.  

She joined UBS in 2007 and spent three years in the Branch Service Associate and Client Service Associate roles before joining the management team as Operations Manager. In her time as Operations Manager, she co-founded the Chicago Operations Processing Center, a centralized review team tasked with supervision of trading, risk and money movements for client accounts for multiple Markets in her Division. 

Currently, as a Market Technology Specialist, Theresa works exclusively in the Minnesota Market with advisors and their teams, helping them become familiar and efficient with UBS' technology applications.

Theresa graduated with a B.A. in Economics from South Dakota State University.  She holds Series 3, 7, 9, 10, 66 and insurance professional licenses.  She lives in Richfield and enjoys travel, spending time outdoors and cheering on the Twins.