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Lee/Wardrop Group Brochure






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Lee/Wardrop Group Brochure Lee/Wardrop Group Brochure Document Transcript

  • ab The Lee/Wardrop Group UBS Financial Services Inc. 257 E. Main Street Barrington, IL 60010 888-400-0488 www.ubs.com/team/lwg
  • Mission Statement The mission of the Lee/Wardrop Group is to assist our clients in pursuing their dreams through strategic planning and sound financial advice. To execute this mission, part of our focus is to help clients make informed, confident decisions, prioritize their goals and create a realistic vision of their future. It is from this commitment that we have built a successful advisory practice based on trusted client relationships. Paul E. Lee, CRPC®, AIF® Scott C. Wardrop Director Vice President–Investments First Vice President–Investments Portfolio Manager Portfolio Manager Portfolio Management Program Portfolio Management Program Advisory & Brokerage Services Advisory & Brokerage Services 847-277-2116 847-277-2133 scott.wardrop@ubs.com paul.e.lee@ubs.com Ryan T. Lindgren Jacob R. Niggemann Financial Advisor Financial Advisor 847-277-2131 847-277-2103 ryan.lindgren@ubs.com jacob.niggemann@ubs.com Trena L. Coffey Senior Client Service Associate 847-277-2122 trena.coffey@ubs.com Chartered Retirement Planning CounselorSM and CRPC® are registered service marks of the College for Financial Planning®. 2
  • The Lee/Wardrop Group team members, from left, Scott Wardrop, Paul Lee, Jacob Niggemann, Trena Coffey and Ryan Lindgren Our Focus and Experience Paul E. Lee, CRPC®, AIF® Scott C. Wardrop Prior to joining UBS, I spent 16 years Prior to joining UBS, I spent 16 years at at Merrill Lynch as a Senior Resident Merrill Lynch as a Vice President. I focus Director and First Vice President. As on helping clients plan for their financial a former CPA, I draw upon my prior independence by using probability- experience by advising our clients based financial planning tools. I also in the areas of estate planning, specialize in utilizing institutional money concentrated stock management managers and asset allocation and alternative investments. I am modeling. a Chartered Retirement Planning Counselor® (CRPC®) and an Accredited I graduated from Denison University Investment Fiduciary (AIF®). where I received my bachelor of arts degree in economics. My wife, Cherie, I received my bachelor in science degree and I live with our son in Wilmette, in accounting from Indiana University. Illinois. My wife, Kimberly, and I reside in Barrington, Illinois, with our three children. 3 View slide
  • Ryan T. Lindgren Jacob R. Niggemann I joined The Lee/Wardrop Group in Prior to joining UBS, I spent the last 2001. Over the past eight years, I have six years with Merrill Lynch as the focused on helping clients in the areas Resident Director’s Assistant and of liability management, corporate have been an integral part of The retirement plans, retirement and college Lee/Wardrop Group’s success. I am education planning. responsible for client acquisition and investment implementation. I attended the University of Illinois at Chicago and received my bachelor of I graduated from Northern Illinois science degree in finance. I currently University and received my bachelor reside in Chicago, Illinois. of science degree in finance. I currently reside in Wauconda, Illinois. Trena L. Coffey Prior to joining The Lee/Wardrop Group, I spent the last six years working for Citi Smith Barney as a branch manager’s assistant in New York, New York. I am responsible for all aspects of client service and administration. I attended the University of Iowa. My husband, Michael, and I reside in Chicago, Illinois. 4 View slide
  • 5 DRAFT
  • Your Future Begins with a Conversation Preserving your wealth Growing your wealth Over time, you have planned and We understand the importance of invested prudently to build your wealth. establishing a firm financial foundation. We understand how important it is to Whether you’re planning to purchase preserve what you’ve worked so hard to a home or accumulating assets to start achieve. That’s why we will work with a business, we’ll work with you to you to review your investment plan on design a personalized portfolio strategy an ongoing basis, making adjustments that reflects your goals, time horizon that take into account factors such as and comfort level with risk. We are taxes*, inflation and unforeseen events dedicated to helping you pursue your that could undo a lifetime of work. financial goals while providing you with the highest level of responsive and personalized service. The UBS Client Experience In delivering the UBS Client Experience, our Financial Advisors take the time to understand your needs and goals and proactively provide appropriate solutions. We keep you informed on a periodic basis, and can monitor and update strategies, as appropriate, to respond to ever-changing markets and your evolving needs. 6
  • Maintaining your lifestyle Generating income through Once you have attained a comfortable retirement level of financial security, it may be What does retirement mean to you? prudent to review and adjust your Your retirement vision is the basis of investment strategy. For example, your retirement strategy, and we will funding higher education for your spend time exploring the life you children or purchasing a second home imagine. Then we can assess whether may require access to significant capital. your retirement assets are sufficient However, you may be reluctant to fund to generate income for day-to-day these objectives directly from your retirement expenses, fulfill the investments. With significant experience retirement dreams you hope to make in managing cash flow, we can help a reality, keep pace with inflation and ensure you have access to funds while meet healthcare costs. Together, we can still maximizing your investment return. develop a personalized strategy to help fund the retirement you envision. 7
  • Focusing on Your Individuality From years of listening to our clients, we have developed our practice with a focus on your specific needs. Estate planning strategies planning and philanthropic planning You have spent your life accumulating strategy. You have worked hard to build assets, and now you want to help your wealth over time, and we want to secure the future of your loved ones. help you address the needs of those Together with your professional you care about. advisors, we focus on identifying personalized estate planning strategies Wealth management for that can help minimize the effect of corporate executives estate taxes* while ensuring that your As a busy corporate executive, estate will be distributed according to you may find you don’t have the your wishes. time to focus on the full range of investment options available to you. In addition, with the help of our We can help you understand the nationwide Attorney Network complexities of your personal or program,** we can introduce you business compensation. Given our to an independent, experienced trust experience, along with that of a UBS and/or estate attorney. There are more team of specialists and the full breadth than 350 attorneys in this established of our firm, we can help you manage network with no fee for an initial the sale of restricted stock, lump-sum consultation. With the guidance of distribution strategies, 10b5-1 trading an experienced attorney, we can help plans and concentrated holdings. you establish a comprehensive estate * Neither UBS Financial Services Inc. nor any of its employees provide legal or tax advice. You must consult with your legal or tax advisor regarding your personal circumstances. ** Attorneys in the Attorney Network program are independent of, and unaffiliated with, UBS Financial Services Inc. 8
  • Transferring wealth to others Personalized financial strategies for There are people in your life who you women care about, and you may have one or Since women often find themselves more favorite causes you want to solely responsible for their financial support financially. How do you balance well-being at some point in their lives, caring for yourself, your loved ones and we will work with you to create a making a difference in your community personalized investment strategy that or the world at large? And how can will help preserve your assets now, you position your assets to continue as well as help you create a wealth providing financial support after you’re management plan for the future. We gone? understand how important it is to you to live comfortably, independently and Together with our team of dedicated without the worry that you will outlive specialists in strategic estate planning, your assets. wealth transfer and gifting techniques, we can help you identify personalized Wealth planning for domestic financial strategies to support the partnerships people and causes you care about You want and deserve a financially while continuing to provide for your secure future, but navigating your own needs now and in the future. way through a wealth management Working with your attorney and other plan can be complicated for unwed professionals, we can determine how domestic partners. As changes these strategies can also reduce the occur in the law and in corporate impact of taxes on your estate.* governance, together with your professional advisors, we can help you understand how those changes can impact you and your partner from a strategic perspective—from buying a home and planning for retirement, to creating and implementing estate planning strategies. 9
  • Structuring an investment program Investment strategies tailored to for your healthcare practice your small business With many years of experience helping As a small business owner, it’s healthcare professionals, we can important that you work with a design a personalized investment firm that understands the financial program that will address any cash requirements, risks and rewards of a flow concerns while providing you small business. We are familiar with access to information about your strategies for meeting start-up costs practice’s finances. We’ll also present and overhead charges, as well as retirement and insurance alternatives funding capital expenditures. We for you and your employees and can can help you grow your business by help you plan for the succession or appropriately balancing your investment transfer of your practice. and liquidity needs and providing you with access to current account Managing the finances of your law information at all times. practice As an attorney, you’re often subjected to an unpredictable income stream. Case loads vary, appeals can delay the payment of your fees and any fees may be contingent on amounts awarded to your client. These and other factors can present challenges for your practice. Having worked with many attorneys, we know how to design personalized investment strategies to help you pursue your long-term goals while addressing liquidity and financing concerns as they arise. 10
  • UBS: Our Global Strength. Your Individual Vision. As a UBS client, you benefit from the experience of one of the world’s leading wealth management firms. We have been serving affluent individuals, corporations, institutions and governments for over 150 years. Through our teams of professionals around the globe and their diverse expertise across a range of disciplines, we are committed to helping each client realize their own vision for financial success. Our relationship with you Our work ethic is simple and powerful. It is based on the value of collaboration. We work side by side with our clients, taking the time to understand their individual needs and goals and the dreams they have for themselves, their families and their future. This deep understanding, combined with the powerful global resources we are able to access on your behalf, lay the foundation for the relationship we call ”You & Us.“ UBS Wealth Management Research UBS Wealth Management Research is dedicated to providing the information and insights you need to make informed financial decisions. Backed by the international resources of one of the world’s leading wealth management firms, we have developed a global network of analysts who conduct research on markets and trends relevant to individual investors. And at UBS, you have direct access to these experts through our team†. 11
  • Important Information about Advisory & Brokerage Services It is important that you understand the ways in which UBS Financial Services Inc. (UBS) conducts business and the applicable laws and regulations that govern the firm. As a firm providing wealth management services to clients in the U.S., UBS is registered with the U.S. Securities and Exchange Commission (SEC) as an investment adviser and a broker-dealer, offering both investment advisory and brokerage services. Though there are similarities among these services, the investment advisory programs and brokerage accounts UBS offers are separate and distinct, differ in material ways and are governed by different laws and separate contracts. It is important that you carefully read the agreements and disclosures UBS provides to you about the products or services offered. While UBS strives to ensure that these materials clearly describe the nature of the services provided, please do not hesitate to contact your Financial Advisor team, The Lee/Wardrop Group, if you would like clarification on the nature of your accounts or services you receive from us. For more information, please visit our web site at www.ubs.com/workingwithus † Two sources of research are available to UBS Financial Services Inc. clients. One source is written by UBS Wealth Management Research (WMR). WMR is part of UBS Global Wealth Management & Business Banking (the UBS business group that includes, among others, UBS Financial Services Inc. and UBS International Inc.), whose primary business focus is individual investors (Private Clients). The other source is written by UBS Investment Research. UBS Investment Research is part of UBS Investment Bank, whose primary business focus is institutional investors. The Private Client report style, length and content are designed to be more easily used by Private Clients. Because both sources of information are independent of one another and reflect the different assumptions, views and analytical methods of the analysts who prepared them, there may exist a difference of opinions between the two sources. Neither the Institutional report nor the Private Client report is necessarily more reliable than the other. The various research content provided does not take into account the unique investment objectives, financial situation or particular needs of any specific individual investor. If you have any questions, please consult your Financial Advisor. UBS Wealth Management Research is provided by UBS Financial Services Inc. and UBS AG. UBS Financial Services Inc. is a subsidiary of UBS AG. ©2009 UBS Financial Services Inc. All Rights Reserved. Member SIPC. All other trademarks, registered trademarks, service marks and registered service marks are of their respective companies. 17539887 UBS Financial Services Inc. is a subsidiary of UBS AG.