1. Dean S. Ungar, CFA
26 Grandview Avenue, White Plains, NY 10605
914-364-2309
deanungar1@gmail.com
Senior Analyst ● Financial Services Sector
 Veteran analyst with 15 years covering banks, brokers, consumer and specialty finance with
deep knowledge of business models, management teams, macroeconomic factors and risks.
 Solid long-term track record of beating the sector benchmark with a focus on companies trading
at a discount to their long-term sustainable growth potential.
 Persuasive and engaging communicator able to convey analytical viewpoints to audiences,
ranging from novice to the most sophisticated portfolio managers, analysts, financial advisors,
consultants, and investors.
Experience
UBS WEALTH MANAGEMENT RESEARCH, New York, NY 8/06 to 5/15
Executive Director, Financials Sector Strategist
Recruited as a key member of the newly formed Equity Research Group created to provide
investment recommendations to financial advisors and their clients nationwide. Initially covered
regional banks, and in 2008 assumed expanded responsibility for all US banks, brokers, consumer
finance, and specialty finance.
 Recommended strategies for positioning investments in the financial services sector with
recommendations out performing or equaling the S&P Financials in six out of nine years,
contributing to the growth of high net worth client base and increases in net new money.
 Covered companies ranging from large to small cap and introduced financial advisors to
several new names that produced solid results.
 Leveraged analytical expertise and skill in conducting management meetings to drive
changes in positions and to alert investors to anticipated pitfalls and increasing risks.
 Substantiated rationale for recommendations to the Research Review Committee,
consistently securing the approval of the Committee’s team of veteran analysts.
 Created monthly reports of investment recommendations distributed to more than 6,000
financial advisors nationwide and accessible to all UBS investors.
 Presented recommendations on UBS internal network broadcast calls, which typically
garnered audiences of 500 to 1,500 listeners. Provided sector news for the UBS blog.
 Conducted client calls, meetings, and group presentations at branch offices, developing an
excellent rapport with prominent investors and gaining the appreciation of financial advisors.
NEUBERGER BERMAN, New York, NY 5/00 to 7/06
Vice President, Small Cap Blend Group (2/04 to 7/06)
Selected to serve as the sole analyst for the financial services sector ($950 million) of the $13.4
billion four-star rated GenesisFund.Recommended newpositions,increases/decreasesin positions,
and sales of positions to the fund’s two portfolio managers.
 Led the bank portfolio, on an equal-weighted basis, to achieve a 2.5% gain in 2005 well
surpassing the 5.0% loss for all banks with market caps between $300 million and $3 billion.

2. Dean S. Ungar, CFA
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Analyst, Financial Service Companies (5/00 to 1/04)
Covered regional banks, GSEs, and thrifts. Prepared reports detailing recommendations for
distribution to 40+ portfolio managers. Met with portfolio managers to provide rationale for
recommendations and to address their concerns.
 Established a reputation for recommendations that yielded strong results, quickly gaining
credibility as an analyst and the respect of sophisticated portfolio managers.
COMMERZBANK, New York, NY 12/99 to 5/00
Vice President, Compliance Officer
Championed a new compliance culture at the New York Office. Developed and conducted a
compliance training program for the 300 branch employees. Rewrote the compliance manual and
brought a new level of insight on compliance and audit requirements to the entire branch operation.
KPMG, New York, NY 3/99 to 12/99
Manager, Financial Services Regulatory Consulting Group
Provided expertise to clients, primarily foreign banks,in regard to regulatorycompliance.Participated
in a forensic accounting investigation.
LEONIA BANK PLC, New York, NY 4/97 to 2/99
Vice President, Internal Auditor
Directed the internal audit program for the New York Office of a Finnish bank with $2.5 billion in
branch activities. Served on the Management and Risk Management Committees. Played a key role
in winding down the New York Office following corporate decision to close US operations.
THE FEDERAL RESERVE BANK OF NEW YORK, New York, NY 2/86 to 4/97
Senior Bank Examiner
Evaluated earnings, asset quality, capital adequacy, liquidity, and risk management of banks and
bank holding companies.
Education
London School of Economics, Graduate Diploma – 1985
Fordham University, Bachelor of Arts in Economics – 1984
Professional Credential
Chartered Financial Analyst