Experience Makes all the difference

Relationships are at the core of our business. We believe that investing in relationships provides the best return for our clients.

Our Team has built an ethical and transparent business that draws upon our extensive experience, knowledge, resources and professional courtesy to implement a client-first approach that efficiently caters to the needs of our corporate, 501(c)3 non-profit and private clients.

Roger W. Stephens

Managing Director - Investments
Financial Advisor
213-253-5240
roger.stephens@ubs.com
Visit my personal page

Roger joined UBS in 2010 as a Managing Director and Institutional Consultant advising corporate plan sponsors, 501(c)3 non-profit organizations and private clients.  Under his leadership, Roger's team currently has $4.3 billion in assets under management.


Registered States:
AL, AR, AZ, CA, CO, CT, FL, GA, HI, IA, IL, IN, LA, MA, MD, MI, MS, NV, NY, OK, OR, PA, SC, TX, UT, VA, WA


Daniel Rothenberg, CIMA

Managing Director - Investments
Financial Advisor
213-253-5241
dan.rothenberg@ubs.com

Dan began working with Roger shortly after graduating from Harvard University in 2004.  Dan has been recognized by 'On Wall Street' as one of the "Top 40 Under 40" advisors in 2010, 2011, 2012, 2013, 2014 as well as 2015.


Registered States:
AL, AR, AZ, CA, CO, CT, DC, FL, GA, HI, IA, IL, IN, LA, MA, MD, MI, MS, NC, NV, NY, OK, OR, PA, SC, TX, UT, VA, WA


Grace Kim

Senior Wealth Strategy Associate
213-253-5246
grace.e.kim@ubs.com


Registered States:
AR, AZ, CA, CO, GA, HI, IL, IN, MD, NY, OR, TX, UT, VA, WA


Michelle Stephanie Hadi

Team Administrator
213-972-2649
michelle.hadi@ubs.com


Registered States:
CA


Akiva Zvi Glazerson

Wealth Strategy Associate
213-972-1464
akiva.glazerson@ubs.com


Registered States:
CA


Robin Jay Kim

Client Service Associate
213-253-5242
robin.kim@ubs.com


Registered States:
CA