Understanding Comes from experience

Samuel A. Moroni

Senior Wealth Strategy Associate

Sam has spent the past 10 years working with employer sponsored retirement plans. He has helped navigate plan sponsors through various, testing, correction and compliance issues. Sam also takes great pride in working with participants through group and one-on-one educational meetings to help them to better understand how to maximize their retirement plan benefit.

In addition to his experience in assisting with compliance and Plan administration, Sam serves as the quarterback in collaborating with each client's Vendor Relationship Manager and Human Resources Benefits Team. He is passionate about working with clients to provide support with platform provider selections, plan demographic quarterly activity reports, and quarterly investment manager reviews. With Sam's investment expertise, he works alongside the UBS Corporate Team in monitoring and selecting custom investment portfolios for individual clients.

Sam earned a Bachelor of Science degree in finance from the University of Dayton in Ohio and holds a Series 7 and Series 66 securities licenses.  Additionally, he has distinguished himself by earning the Chartered Retirement Plans Specialist (CRPS®) designation and completing the Investment Management Consultants Association's (IMCA) Essentials of Investment Consulting Certificate Program.

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Joseph Robert Schultz

Client Service Associate

Joe is the newest addition to the UBS Retirement Consulting team. Prior to joining Rita and Sam at UBS, Joe spent the past 3 years working as a client relationship manager in servicing 32 employer sponsored retirement plans.  Joe brings plan sponsors experience in managing projects surrounding payroll integration and various operational day to day activity in utilizing his experience and resources in partnering with client HR teams.  Joe's experience in being directly responsible for assisting plan sponsors with day to day administration distinguishes our team in having additional experience in working with client's record-keepers.  

Joe is responsible for servings as an intermediary between HR team members and Retirement Plan Providers to ensure set  deadlines are met, efficient processes are established and operational task items are completed on a timely basis. Joe will also serve as an additional resource that participants can reach out to for any questions pertaining to their retirement account.

Joe earned a bachelor Arts degree in Communications and Electronic Media from the University of Wisconsin Whitewater.  Joe is FINRA registered and currently holds his series 6, 7, and 66 license. 

lectronic Media from the University of Wisconsin Whitewater.  Joe is FINRA registered and currently holds his series 6, 7, and 66 license. 

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