Bringing institutional perspective to Private Wealth Management
Nick brings extensive institutional sales and Investment Banking experience to Soteria Wealth Management. His understanding of institutional trading, markets and risk, provides a valuable perspective to executives in healthcare and financial services. Today, Nick manages the portfolios of investment bankers, traders, research analysts and senior financial executives. He also advises a number of clients in large-cap pharmaceuticals, specialty pharmaceuticals and the biotechnology sector.

Family Office Consultant 
FOC is a UBS business designation reserved for Financial Advisors with a track record of understanding the investment, business, passion and legacy needs of sophisticated, exceptional clients and aligning them to the full suite of UBS capabilities. FOCs undergo rigorous training to strengthen their industry knowledge, and will be available for strategic partnering with other Financial Advisors and Private Wealth Advisors at UBS to cultivate relationships with Ultra High Net Worth clients.

Experience

• 25 years in the institutional equities business
• Managing Director and Head of US institutional equity sales, UBS
• Operating Committee member, US institutional equity sales, UBS ($1 billion in revenue; responsible for all IPOs, secondary sales, convertibles and block transactions)
• Managing Director, Institutional Equities, Swiss Bank (formerly Dillon, Read & Co.)

Life

• Nick is the father of six children.
• They love traveling and spending time together.

Registered States:
AZ, CA, CO, CT, DC, FL, GA, HI, IL, MA, MN, NC, NH, NJ, NV, NY, OH, OR, PA, SC, SD, TN, TX, VA, VT, WI

Tackling complex wealth issues, managing risk, helping preserve capital
In his nearly 20 years in the financial industry, Mike has helped navigate clients through volatile markets and holds great respect for the markets’ risk-reward dynamic. Mike aims to proactively address complicated issues—before they actually become problems. As the team’s portfolio manager, he develops creative solutions for helping clients manage risk. He enjoys the challenge of simplifying the complex and working with affluent families to help preserve their wealth, whether through thoughtful investing or tax-saving solutions.

Family Office Consultant 
FOC is a UBS business designation reserved for Financial Advisors with a track record of understanding the investment, business, passion and legacy needs of sophisticated, exceptional clients and aligning them to the full suite of UBS capabilities. FOCs undergo rigorous training to strengthen their industry knowledge, and will be available for strategic partnering with other Financial Advisors and Private Wealth Advisors at UBS to cultivate relationships with Ultra High Net Worth clients.

Experience

• Financial Advisor, RBC Dain Rauscher

Credentials

• On Wall Street Top 40 Advisors Under 40, 2019
• Forbes "Best-In-State Wealth Advisors" (NJ), 2019
• UBS “Top 35 under 35,” 2014, 2015, 2016
• Series 7, 31, 63 and 65 securities licenses
• Life and health insurance licenses

Life

• Mike has four daughters.
• He enjoys coaching softball.

Registered States:
AZ, CA, CO, CT, DC, FL, GA, HI, IL, MA, MN, NC, NH, NJ, NV, NY, OH, OR, PA, SC, SD, TN, TX, VA, VT, WI

Making a positive impact through planning
Focused on providing strategic financial planning within Soteria Wealth management, Joe strives to help clients grow, preserve and transition their wealth to their families and the causes that matter most. Growing up, Joe was taught the importance of budgeting, saving and planning. He brings those values to each relationship—values that shape the advice and recommendations he truly hopes can make a positive impact in his clients’ lives.

Experience

• Hall Capital Partners multifamily office

 Credentials

• UBS "Top FAs Under 35," 2019
• Forbes “America’s Top Next Generation Wealth Advisor,“ 2017, 2018
• NFLPA Registered Player Financial Advisor
• CERTIFIED FINANCIAL PLANNER^TM (CFP^®) practitioner
• Certified Private Wealth Advisor (CPWA^®)
• Series 7 and 66 securities licenses
• Life and health insurance licenses
• B.S., Colgate University

Life

• Joe is happily married and currently a proud dog owner.
• He enjoys golf and traveling.
• He supports a number of charities focused on youth, the military and special needs.

Registered States:
AZ, CA, CO, CT, DC, FL, GA, HI, IL, MA, MN, NC, NH, NJ, NV, NY, OH, OR, PA, RI, SC, SD, TN, TX, VA, VT, WI

Facilitating financial independence for the future
As the son of small business owners, Graham knows first-hand the value of planning for what’s next. Through collaboration with clients, he uncovers their goals and what is most important to them. His diverse professional background and skills provide him the experience to help implement a risk-efficient plan for each client. Graham works tirelessly to help the plan stay nimble as life presents new challenges and goals— always with financial independence as the focus.

Experience

• UBS Wealth Planning Analyst
• Provided strategic financial planning to over 80 Financial Advisors and their clients
• Manager, International Private Equity and Venture Capital Data Operations, Cambridge Associates
• Led an international team focused on facilitating alternative investment solutions for trusts, foundations and endowments

 Credentials

• CERTIFIED FINANCIAL PLANNER^TM (CFP^®) practitioner
• Certified Investment Management Analyst (CIMA^®), Yale School of Management
• Series 7 and 66 securities licenses
• Life, health and accident insurance licenses
• M.B.A., business administration, College of William & Mary
• B.A., history and kinesiology, College of William & Mary (varsity football player)

Life

• Graham participates in a number of charity events with both UBS and his alma mater, William & Mary.
• Graham, his wife, Katie, and their two children live in Franklin Lakes, NJ.

Registered States:
AZ, CA, CO, CT, DC, FL, GA, HI, IL, MA, MD, MN, NC, NH, NJ, NV, NY, OH, OR, PA, SC, SD, TN, TX, VA, VT, WI, WV

With more than 29 years in the financial services industry, Susan joined UBS in 2012. She is responsible for all aspects of Soteria Wealth Management's client service. Susan handles special team projects and monitors account activity and internal reports to keep the team and clients informed. Susan earned a B.S. degree in business economics from the State University of New York at Oneonta. Susan has her Series 7 and 63 securities licenses. Susan and her husband live with their four children in Tappan, NY.

Registered States:
AZ, CA, CO, CT, DC, FL, GA, HI, IL, MA, MN, NC, NH, NJ, NV, NY, OR, PA, SC, SD, TN, TX, VA, VT

Provides support in the analysis and marketing of products and services along side client service.

Experience

• 16 Years of experience in Financial Services
• Senior Registered Client Service Associate, UBS
• Senior Registered Sales Associate, Morgan Stanley

Credentials

• Series 7 and 66 securities licenses
• New York University, General Studies program attended 1996-1998

Life

• UBS Community Corps Volunteer

Registered States:
AZ, CA, CO, CT, DC, FL, HI, MA, NC, NH, NJ, NV, NY, PA, SD, TN, TX, VA

Registered States:
AZ, CA, CO, CT, DC, GA, HI, IL, MA, NC, NH, NJ, NV, NY, PA, SD, TN, TX, VA

Registered States:
AZ, CA, CO, CT, DC, FL, HI, IL, MA, NC, NH, NJ, NV, NY, PA, PR, SD, TN, TX, VA