Managing your personal financial portfolio is both an art and a science. It demands whole-brain engagement. It requires the discipline to dive deeply into financial analysis, the ability to listen to all the parts of your life that need attention, the intuitive knowing of when to pause or sustain a particular strategy, and the ability to communicate effectively.
For the past 20 years I have orchestrated a wide variety of wealth planning solutions using my analytical skills as a Financial Advisor. In many ways, I am the conductor of my clients’ financial portfolios, working collaboratively to establish clear directions for achieving your financial goals.
Restricted Securities and Employee Stock Option Plans (ESOPs)
If you’re an early investor or play a significant role in a company, chances are you hold some restricted stock or company-issued stock options. Federal securities laws strictly govern transactions involving your restricted securities. However, if you qualify, you can sell all or a portion of these securities under Securities & Exchange Commission (SEC) Rules 144, 145 or 701, which provide exemptions from registration under the federal securities laws.
My goal is to assist you in:
- Understanding the complex rules surrounding restricted securities and ESOPs
- avigating the preparation, execution and clearance of option exercises and sales under the various rules
- Creating a comprehensive financial plan once we have completed the restricted or control securities transaction
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
- Dean's Advisory Board, De Paul University School of Music- 2013 to Present
- Board of Directors - Wisconsin Youth Symphony Orchestra- 2010 to Present
- Board of Directors - Wisconsin Youth Symphony Orchestra Foundation- 2010 to Present
- Adult Leader- Boy Scouts of America 1996 to Present
- Wealth Management
- Financial Planning
- Retirement Planning
- Asset Management
- Professional Portfolio Management
- Executive Financial Services
- 401(k) Rollovers
- Municipal Bonds
- Fixed Income
- Corporate Cash Management
- Alternative Investments
- Endowments and Foundations
- Business Planning
- Education Planning
- Exchange Traded Funds
- Institutional Services
- Insurance Services
- Access to Lending Services
- Planning for Special Needs Individuals
- Stock Option Plans
- Structured Products
- Taft-Hartley Plans
- Master of Music
- Bachelor of Music
Indiana University Bloomington
- Series Licensed: 7,65,63,31,Rule 144
- Insurance Licensed: Annuities, Life, Health, LTC
- Present: Morgan Stanley*
- 1995: Trans Union Corporation - Consumer Credit Reporting
See February On the Markets from the Global Investment Committee featuring
• “A Rough Start” The financial markets just completed one of the worst Januarys on record. Michael Wilson, chief investment officer of Morgan Stanley Wealth Management, believes the volatility could continue into the spring. The upside is likely to be limited, but with some tactical trading opportunities.
• “The Four D’s of Recession” Ellen Zentner, chief US economist for Morgan Stanley & Co, watches deceleration, diffusion, depth and duration—the “four D’s”—to determine if a recession is in the works. For now, she gives it a 20% probability.
• “Favor Quality Growth Stocks With Catalysts” In the year ahead, owning quality growth stocks may not be enough, writes Dan Skelly, senior equity strategist for Morgan Stanley Wealth Management. He says companies need to have a catalyst such as a sustainable technology trend or political and/or athletic events to help them realize their potential.
Plus, look for more on economics, bonds and alternative investments.
Have you considered consolidating your rollovers in order to diversify your retirement assets? If you would like to learn more, call or email us. Diversification does not assure a profit or protect against loss in declining financial markets.
Meet with me and our specialists to discuss valuable ideas and individually tailored wealth planning strategies to help you preserve your wealth.
Securities Agent: AZ, CA, CO, DC, FL, HI, IL, KS, KY, MA, MD, ME, MI, MN, MO, MT, NC, NJ, NV, NY, OH, OK, OR, PA, VA, WA, WI; General Securities Representative; Investment Advisor Representative; Managed Futures