The Reno Branch at Morgan Stanley

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1 The Reno Branch at Morgan Stanley

2 5390 Kietzke Lane Suite 200, Reno, Nevada / Main / fax dawn.m.uccelli@morganstanley.com

3 The Reno Branch at Morgan Stanley Welcome to the Reno Branch. It is with great pride that I invite you to meet our branch management team and Financial Advisors. One of our primary objectives is to assemble a team of experienced, self-motivated, insightful Financial Advisors who are dedicated to the needs of their clients. While we believe that the professionals in our office are of the highest caliber, we continually seek to add talent and broaden our capabilities. Culturally, the Reno Branch values collaboration and entrepreneurship. We believe Financial Advisors thrive in our environment because integrity and professionalism are evident in every relationship, both within the office and with our clients. No less important, we are dedicated to promoting diversity, partnership and leadership. We firmly believe in open-architecture, wherein our Financial Advisors are encouraged to take the helm of deciding what works best for their clients and for their practice. Our Financial Advisors enjoy the full support of branch management, as well as the firm, throughout their careers. Our unique approach to the business enables us to build meaningful, long-lasting bonds with our Financial Advisors, who are consistently among the most productive in our region and division. We also have many multigenerational client relationships, which is a source of great pride. I am confident that you will discover numerous opportunities with us to take your practice to the next level. I look forward to continuing the process of exploring how our staff can most effectively serve you and clients. David Lawrence Branch Manager The reno branch 3

4 Meet the Management Team The Reno Branch management team comprises experienced and knowledgeable professionals who average 19 years in the financial services industry. Each individual is integral to ensuring the efficiency of the complex s overall operations, as well as to helping your practice transition smoothly and efficiently to our platform. Our collaborative spirit is evident in our daily interactions, especially as we work together to ensure that your clients needs are the top priority and to empower you to achieve your professional and personal goals. 4 Morgan Stanley

5 David Lawrence Branch Manager Randy Woldberg Complex Service Manager With nearly a decade of financial services industry experience, all with Morgan Stanley, I have served in many different capacities, most recently as the branch manager here in Reno. My primary focus is to drive revenue, increase profitability and manage risk across our two branches, but I am equally committed to helping every Financial Advisor realize their potential and succeed. I learned long ago that developing cohesive teams through accountability and unwavering ethical standards results in strong morale and consistent production, so I try to be as balanced and available as possible. One of my primary goals is to ensure that all our FAs have a thorough understanding of the firm s products and services and are able to use this knowledge to develop personalized, goal-based wealth management plans for their clients. I am very involved in the branches recruitment, community outreach and diversity initiatives. As an undergraduate student I attended College of Charleston, earning a Bachelor of Arts degree in communication. I was also a member of the varsity swim team during my tenure. I then earned my Master s in business administration at the University of San Francisco. I also hold the Certified Financial Planner certification. Giving back to the community is very important to me and I encourage everyone in the branches to consider donating time or dollars to causes that they personally deem to be worthy. I actively donate to several charitable organizations, including the Special Olympics, Morgan Stanley Foundation and Support Our Troops. I also love to support the University of Alabama s football team (Roll Tide). I live in Reno with my wife, Katie, and son, Henry. I supervise all operations and service functions and facilitate communication and training for operations staff. I am responsible for the training and management of all non-sales staff. I hold an Associate s degree in business and banking from Truckee Meadows Community College. I have lived in Sparks since The reno branch 5

6 Kathryn K. Kieffer Complex Risk Officer Dawn Uccelli Administrative Assistant A Complex Risk Officer is a very integral role in Morgan Stanley branch relationships. It is very important for all staff to be able to run their businesses efficiently and within all federal and state regulations and firm policies. A risk officer helps everyone facilitate and meet those goals effectively. I have many years of experience in the financial services in both sales and operations. I consider it a privilege to be a Morgan Stanley Complex Risk Officer. I have a B.A. from Ft. Lewis College, Durango, Colo. and I live in Reno, Nev. with my husband Alan. In my 15 years in the industry, I have been a Sales Assistant, Financial Advisor, and now I am the Administrative Assistant for the branch. As Administrative Assistant, I am the branch solutions liaison. My job is to help keep the branch running smoothly and to be a problem solver. 6 Morgan Stanley

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8 Our Financial Advisors The Financial Advisors at the Reno Branch exemplify professionalism, objectivity and integrity in the way they establish and maintain their business relationships with individuals, families and institutional clients. Our Financial Advisors are well equipped to handle the business challenges they face every day. Following are highlights of their key accomplishments:* Excellence: 32% of the Financial Advisors in the complex hold club appointments (a Morgan Stanley recognition for professionalism, success and dedication to clients). Productivity: Our Financial Advisors have an average gross production greater than $552,000. Competency: Approximately 100% of our Financial Advisors have completed extensive continuing education courses and have attained professional designations that include, CERTIFIED FINANCIAL PLANNER (CFP ) and Certified Investment Management Analyst (CIMA ). Teamwork: 38% of our Financial Advisors and staff are on teams. High net worth client relationships: 12% of our client households have a balance of $1 million or greater. *As of Februrary 2013, as published in the firm s Focus Report. 8 Morgan Stanley

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10 A World-Class Platform Morgan Stanley one of the nation s leading managers of personal wealth offers opportunity that is limited only by your ambition. The firm continually leverages its intellectual capital and global resources to create and deliver targeted strategies for your clients. From simple financial strategies to the most sophisticated investments and advice, we believe Morgan Stanley s offering is unparalleled. You will serve as your clients gateway to: 1 A Premier Managed-Money Platform An offering that comprises investment consulting and advisory programs with separately managed accounts, unified managed accounts and discretionary and nondiscretionary programs. Morgan Stanley houses one of the largest money manager research teams in the industry dozens of analysts who average 14 years of experience and follow rigorous processes to vet and analyze over 1,300 investment vehicles and strategies. 2 Two of Wall Street s Highest- Rated Research Departments Our research affiliates consisting of award-winning analysts, economists and strategists have earned their stellar reputations through their timely, in-depth coverage of more than 3,000 companies, industries, markets and worldwide economies. 3 Our Global Investment Committee The Global Investment Committee is made up of seasoned Morgan Stanley professionals with deep levels of expertise spanning the global spectrum of asset classes, instruments and investment techniques. The Global Investment Committee provides guidance to Morgan Stanley Financial Advisors and our clients through a disciplined process of fundamental research and a comprehensive analysis of economic and market conditions. 4 Broad Capital Markets Coverage A leader in the global capital markets, Morgan Stanley provides access to equity markets around the world and the full range of fixed income offerings, via a trading system designed to deliver best execution. Our capital markets trading capabilities include: Cash Management Securities Certificates of Deposit Closed-End Funds Convertible Securities Corporate Bonds Emerging Market Debt Equities 10 Morgan Stanley

11 Exchange-Traded Funds Foreign-Denominated Foreign Exchange High-Yield Bonds Municipal Bonds Precious Metals Preferred Securities Structured Investments TLGP / FDIC Debt Agency Securities U.S. Treasury Securities Zero-Coupon Bonds Mortgage-Backed Securities Secondary Structured Notes Strategic Equity Portfolios 5 Wealth Planning financial planning resources. Beyond the full range of essential capital markets products, Morgan Stanley Financial Advisors have access to a full range of financial planning resources to help you better understand your clients financial objectives. Our planning platform enables the Financial Advisor to create analyses to help clients plan for and achieve their financial goals such as: retirement, education funding, and major purchases. In addition, strategies for goal protection utilizing life, disability or long-term care insurance and the capability to introduce and analyze different estate planning strategies are available. Wealth Planning Centers in major cities nationwide that provide access to professionals with highly specialized knowledge who can work collaboratively with your clients existing tax and legal advisors. The centers deliver sophisticated plans for wealthy clients analyzing their income, investments, liabilities, risks, philanthropy, estate planning, trust structures, and more. The Morgan Stanley Retirement Standard, creates a tangible client experience based on 10 key elements of successful retirement planning, including a lifestyle review, a family records organizer and retirement income planning. Supported by many tools and resources, the Retirement Standard is an excellent way for Financial Advisors to capitalize on the growing retirement market.

12 Talent Management and Professional Development Morgan Stanley emphasizes accessible, solutions-based professional development opportunities for field talent. They are able to enhance their skills and learn new strategies through a variety of resources and programs. Morgan Stanley s Professional Development offering is built on a framework based on industry and proprietary research that provides timely, relevant, and useful information and ideas. Research is conducted on top financial advisors, client needs and market trends. Through strategic partnerships, we make available and orchestrate preeminent professional development resources. Field Leadership Our strategy incorporates sourcing, selection, and new / experienced manager development. These programs empower field leadership to lead effective teams and coach Financial Advisors. We leverage coaching systems that drive business results whereby Financial Advisors achieve organic, long-term and sustainable growth. We focus on coaching, succession planning and building leadership capability. Financial Advisors Our strategy is focused on business, professional and personal growth. The turnkey menu of learning is organized against four pillars: Wealth, Practice, Investment and Life Management. It includes national events, local resources and tools, and business development and accountabilities. We provide the resources to drive team formation and effective team practices for Financial Advisor and Complex Management. Financial Advisor Associates Our strategy is designed to help Morgan Stanley Associates succeed in launching and growing their businesses. The program consists of instructor-led training, self-paced workbooks and online training, as well as in-branch coaching, mentoring and training. The FAA Program focuses on six key skill sets: knowledge of the industry, Morgan Stanley, and the branch; Business planning and niche marketing skills; selling and relationship building skills; financial planning skills; knowledge of Morgan Stanley client solutions; knowledge and adherence to Morgan Stanley / industry regulations and guidelines. Support Staff Our strategy is focused on building a culture of World-Class Service in the field and home office. A business reengineering strategy teaches Client Service Associates to focus on business building of Financial Advisor practices. Content includes integration efforts, enhancing professionalism of support staff, supporting Business Process Reengineering, and career planning. 12 Morgan Stanley

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14 Transition Services: We Help Make Your Move Easier To facilitate your transition, a specialized team handles every detail of your move, from due diligence reviews and license transfers to product specialists, transition specialists and technology training. You will be able to conduct business on day one at Morgan Stanley. From orderly account opening and transfers to ready-to-mail client transition kits, you and your team will have full access to the firm s systems and business-building resources. To ensure your comfort with the firm s intellectual capital, dedicated professionals provide on-site training, consulting and support services to newly boarded Financial Advisors and Client Service Associates. Knowledgeable support professionals assist Branch Managers, Financial Advisors, Client Service Associates and complex operations staff in the effective and efficient transition of your practice to Morgan Stanley. The ultimate goal is to ensure a superior experience for both your clients and your team. 14 Morgan Stanley

15 A Comprehensive Transition Management Services Model Processes New account opening Account transfers Client announcements ACATS processing Documentation and issue tracking Training On-site transition specialists for qualified Financial Advisors (based on availability) provide integration assistance and as-needed training to Financial Advisors and Client Service Associates. Organization Proactive pre-arrival planning with Complex Management, as requested Setting expectations and delegating responsibilities Operational due diligence assessment End-to-end standardized operational guidelines and tools

16 Our Firm and Our Complex: Equally Dedicated to the Community Morgan Stanley is committed to improving the quality of life in the communities where the firm does business. The firm invests in children s health initiatives along with education, diversity and cultural programs that better our people and society. The Morgan Stanley Reno Branch encourages its employees Financial Advisors, Client Service Associates and other support staff alike to give back to the community both financially and through firm-sponsored volunteer projects. While our Financial Advisors are singularly committed to helping clients achieve their financial goals by providing sound financial guidance, as a complex we are also passionately committed to the community, both locally and globally. Collectively and individually, our Financial Advisors, Client Service Associates and support staff have worked with a number of vital organizations, such as the Morgan Stanley Foundation and Feeding America. 16 Morgan Stanley

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18 The Lines of Communication Are Open The decision to move to another firm can be very difficult. There are a number of factors that may weigh on your mind the growth of your practice, the state of your client relationships, your personal financial obligations, just to name a few. Our entire management team is available and eager to address your concerns candidly, fully and in the strictest confidence. Please contact us for more information and an in-depth discussion about how the Reno Branch can help you succeed, professionally and personally. We look forward to working with you. 18 Morgan Stanley

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20 2013 Morgan Stanley Smith Barney LLC. Member SIPC. CRC /13