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
- 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 August On the Markets from the Global Investment Committee featuring
• "What Lies Beneath" Michael Wilson, chief investment officer of Morgan Stanley Wealth Management, says the US stock market’s “weak breadth” has many market pundits worried about the next big downturn. Wilson explains that this condition can last for years as the overall market rises at a slower pace, making it imperative to look at what lies beneath the surface in order to make money consistently.
• "The Dragon and the Elephant" China and India attract investors because together they account for nearly 40% of the world’s population. To invest in China, investors need to be selective; in India, they need to be patient. Sachin Manchanda and Katy Zhao, equity strategists at Morgan Stanley Wealth Management, explain it all.
• "Why Gold Remains Stuck in a Bear Market" With the Federal Reserve and other central banks working to create inflation, why is gold, a traditional inflation hedge, trading near its five-year low? Lisa Shalett, head of investment and portfolio strategies for Morgan Stanley Wealth Management, says it has to do with a slump in commodities overall—and anticipation of a Fed rate hike later this year.
Plus, look for more on equities and bonds, and a question-and-answer session with a veteran investment strategist who is an expert on China.
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