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Informational Interviews with Daniel Harvey and James Douglas Financial Advisors UBS Financial Services Inc.OverviewUBS Financial Services Inc.Slide 4Financial AdvisorsSlide 6Duties of a Financial AdvisorDuties of a Financial AdvisorPros and ConsSlide 10What It TakesWhat it TakesCareer Opportunities at UBSQuestions?Informational Interviews withDaniel Harvey and James DouglasFinancial AdvisorsUBS Financial Services Inc.Presented by:Joseph MillerNathan WashingtonBA 200: Managerial CommunicationsMarch 25, 2005OverviewUBS Financial Services Inc.Careers Highlights of IntervieweesDuties of a Financial AdvisorPros and Cons of Career in Advising What It Takes Career Opportunities at UBSUBS Financial Services Inc.Profile•Parent Company - UBS AGSwitzerland-Based Bank•Formally Known as PaineWebber Inc. November 2000 Merged with UBS AGUBS Financial Services Inc.Services•Wealth Management•Employee Stock Benefits •Differed Compensation Consulting•Retirement Planning•Insurance ProductsFinancial AdvisorsDaniel Harvey•B.S. Degree from University of Chicago•Series 7 and Series 66 Licenses•Licensed in Insurance Products•Fourth Year as Advisor at UBS•Keynote Speaker in 20 Investment Seminars•Currently Pursuing CFP DesignationFinancial AdvisorsJames Douglas•B.S. Degree From University Florida •Series 7 and Series 66 Licenses•Licensed in Insurance Products•Fifth Year as Financial Advisor at UBS•Keynote Speaker in 15 Investments Seminars•Currently Pursuing CFP DesignationDuties of a Financial Advisor Bring in New Business - 70% •Networking Events•Referrals From Existing Clients•Cold CallingManage Accounts of Current Clients - 30%•Portfolio Reallocation upon Client Request•Investment RecommendationsDuties of a Financial AdvisorTypical Day•1-2 Hours Reading Current Financial News•1-2 Hours Checking Daily Account Activity •3-5 Hours Client Interaction•3-5 Hours Generating New Leads•3-5 Hours Client MeetingsPros and ConsPros •Ownership Qualities•Compensation Based on Performance•Flexible Work Schedule – Set Own Hours•Autonomy in Decision MakingPros and ConsCons•Limitless Workload•Difficult to Separate Work and Social Life •Compensation Based on Performance•Many Ways to Make MistakesWhat It TakesQualifications•B.S. in Business-Related Field•Minimum GPA 3.5 (4.0 Scale)•Experience in Sales•Series 7, Series 66, and Insurance LicensesWhat it TakesAttributes•Self-Motivated •Disciplined •Persistent •Competitive Spirit•Well-OrganizedCareer Opportunities at UBS Entry-Level Financial Advisor•First Two Years Compensation: Base SalaryLicensing RequirementsFormal TrainingProgressive Goals for New BusinessQuestions?Thank


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UIC BA 200 - Informational Interviews

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