Experience That inspires confidence

Lori Finck joins UBS Financial Services with a strong professional background in equities and fixed income trading. – most recently with Summit Securities Group, LLC as the Managing Director and Head of Equity Trading. She has extensive knowledge in managing risk with sophisticated investments in both the US and foreign markets. Early in her career, Lori was a principle at several hedge funds, namely Kellner DiLeo, and was a managing director and head trader at Citigroup/Tribeca Investments. Lori was also the Managing Director of Special Situation Trading for Wachovia Securities. She is a graduate of the Leonard Stern School of Business at New York University with degrees in Finance and International Business. She enjoys golf, sailing and gardening in her spare time.

Professional Experience

Company

Title

Location

Duration

UBS Financial Services Inc.

Vice President-Wealth Management

Stamford, CT

September 2010 - Present

Education

  • Wharton Private Wealth Executive Education Program certification
  • Bachelor of Science Majors-Finance and International Business-New York University Leonard Stern School of Business 1993

Licenses

  • Life , Health Insurance and Annuities in CT, NY, NJ,VT,TN and FL- license number 2408202
  • FINRA Registered in the states of CA,CT,FL,GA,IL,IA,MA,NJ,NY,TN,VA,VT
  • Connecticut Partnership for Long-Term Care
  • Series 3,4, 7, 24,41, 55, 63, 66, Registered Options Principle

Personal & Community

  • Secretary and Chairman of the Sherman Historical Society Endowment Committee
  • President-West Highland White Terrier Society of CT
  • Secretary of the River Oaks of Sherman Association Inc.
  • Treasurer of Naromi Land Trust, Sherman, CT
  • President of the Long Island New York chapter of the American Institute of Parliamentarians

Registered States:

CA, CT, FL, GA, IA, IL, MA, NJ, NY, TN, VA, VT