The Keating Group at Morgan Stanley Everything Starts With A Plan
899 Cassatt Rd Ste 100 Berwyn, PA 19312 610-408-1944 / MAIN 800-345-3050 / TOLL-FREE 610-408-1908 / FAX http://www.morganstanleyfa.com/ thekeatinggroup/groupdetail.htm megan.keating@morganstanley.com dawn.dupre@morganstanley.com
Everything Starts With A Plan We believe solid financial planning is at the heart of every decision you make whether you're planning for retirement, purchasing a second home, or paying for a child s education. Consider The Keating Group as collaborators, creating a financial roadmap with you. You gain from the global investment experience of Morgan Stanley, developing a strategy that balances your financial ambitions with your aspirations. The Keating Group at Morgan Stanley is unparalleled in serving the LGBT community as we understand first-hand the needs LGBT individuals and couples face. From decisions around marriage, domestic partnerships, and the adoption of a child, we appreciate the complexities surrounding these moments in life, as we ve walked through these experiences ourselves. We will team with legal experts and other professionals to navigate this rapidly changing landscape, and bring clarity and guidance to your individual situation. With more than 40 years of combined experience helping families uncover and plan for their life goals, The Keating Group marries our storied financial expertise to our unique family perspective, enabling us to guide you on your own path. Each family's needs are different. But every family needs a strategy to bring their dreams to fruition. With The Keating Group as your ally, we will build a plan for your financial future. THE KEATING GROUP 3
Meet the Professionals A Family Owned Business Married five years, Megan Keating and Dawn Dupre reside in both Valley Forge, PA and Rehoboth Beach, DE. The two enjoy spending time with their three children, are involved in various charitable organizations including HRC, Camp Rehoboth and Breastcancer.org, and play on a women s golf league at the Phoenixville Country Club. Megan s father founded The Keating Group in 1981, which she joined in 2000. Together they built a successful father daughter team over the last decade, as the business transitioned into Megan s leadership. Keeping with spirit of a family owned business, Dawn joined Megan upon her father s retirement as a partner of The Keating Group. 4 MORGAN STANLEY
Megan E. Keating, CRPC First Vice President - Wealth Management Financial Advisor A former Division 1 basketball player, Megan Keating brings that drive and spirit to her role as a First Vice President and partner of The Keating Group. Megan earned her MBA and Bachelor of Science from Drexel University in Philadelphia, which she attended on a full scholarship, garnering a GTE Second Team Academic All-American. Megan was a frequent on-camera commentator for college basketball, appearing on ESPN and Comcast from 1998 to 2008. She carries multiple NASD licenses including Series 7, 66 and accident, life and health insurance, as well as the Chartered Retirement Planning Counselor designation from the College of Financial Planning. Dawn Dupre Financial Advisor Dawn joined The Keating Group at Morgan Stanley in 2013 as a Financial Advisor and partner, most recently serving as an Executive Vice President of Citizens Financial Group and President of CCO Investments, its full-service brokerage and investment advisor unit. She brings more than 20 years of experience in executive management positions throughout the Northeast and Southeast, working with a wide array of clients including nonprofits, families, businesses and individuals. A graduate of Nicholls State University in Louisiana, she earned a Bachelor of Science in Finance on a music scholarship, playing the drums in the marching bank and orchestra. She carries multiple NASD licenses: Series 6, 7, 9, 10, 24, 63, 65 and 52, as well as licenses for life, health and variable annuities. THE KEATING GROUP 5
Recognition: A Track Record for Excellence Long recognized within their own community for excellence, Megan Keating and Dawn Dupre together have earned top honors across the country. Megan earned Philadelphia Magazine s Wealth Manager FIVE STAR award for overall client satisfaction for 2013. As an active alum, she served on the Drexel University Alumni Association s Board of Governors for two terms from 2006 to 2010. She was the recipient of the Harriet E. Worrell Society Award, honoring an alumna whose professional achievements, contributions to the community and service to her alma mater embody Harriet s spirit of commitment and integrity. Megan also served as a Guest Speaker and Master of Ceremonies for various organizations throughout the Philadelphia area, including The Big Five, Coaches Versus Cancer and Drexel University, where she also sat as a panelist for Career Night. Named one of Top Six Teams in Banking by American Banker magazine in 2012, Dawn has served as Treasurer of Equality Forum, and as a member of the Bank Insurance and Securities Association Board. She was also a member of the Executive Leadership Group at Citizens Financial, comprised of a select group of senior management leaders within the organization. She is a frequently requested speaker on the topic of women and finance, most notably a two-time guest speaker at the Philadelphia Conference for Women, a nationally recognized leadership symposium. THE KEATING GROUP 7
Developing Your Wealth Management Strategy Individuals work hard to build wealth in pursuit of a meaningful life for themselves and their family. Your achievements reflect substantial effort, and we will work just as hard on your behalf, committing our experience and skills to helping you achieve your unique goals for your wealth. Moreover, we will support you and your strategy by accessing the resources and perspective of one of the world s largest financial firms. Before our team offers specific advice, however, we must understand who you are and what you want your wealth to accomplish. Working with you, we will complete a four-step process: 1 Setting your financial objectives We will begin our relationship by listening discussing a range of topics related to your financial needs and investment objectives: long-term life goals and expectations, possible major purchases, and legacy and charitable goals, if you have them. We will discuss your current financial resources, your time horizon for various goals, your tolerance for risk even how your liabilities are structured. If you own a business, we also might discuss your current banking and cash management needs. 2 Developing your wealth management strategy Based on your input, our advice will likely help address income and retirement planning, asset protection, investment management, strategic borrowing, wealth transfer and business succession. Of course, your plan will include an asset allocation strategy designed to help achieve your financial goals in light of your risk tolerance and investment time horizon. 8 MORGAN STANLEY
3 Implementing your strategy After we have discussed and refined your strategy, the team works closely with you to bring the elements to life. Should we decide together that outside money managers are appropriate for you, we will draw on in-depth research and analysis to help you select from the hundreds of investment management firms available to you. If you prefer to invest in individual securities, we can help identify specific stocks, bonds and other securities that may be suitable for your portfolio. Whatever approach we decide on, the team will help you keep your strategy on track. 4 Reviewing your performance You will receive a quarterly review that outlines your portfolio s performance, helping you track progress toward your objectives. Moreover, when your personal situation or market conditions change significantly, we can suggest appropriate adjustments to your portfolio to help it remain aligned with your goals. 9
Collaborating on Your Financial Journey At The Keating Group we build long-standing relationships with our clients, leveraging our decades of experience within the LGBT community to target your specific dreams and goals. As your advisor, we unite solid financial advice to your individual needs, striving to build your financial future. Let us put our expertise to work for you. 10 MORGAN STANLEY
The Five Star Wealth Manager Award ( the Award ) is based on required eligibility criteria including, but not limited to: Active employment in the financial services industry for a minimum of five years and registrations as an investment adviser representative (or other accepted credentials), favorable regulatory/complaint history reviewed defined by Five Star as not having (1) been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine, (2) had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional s consumer complaint process, (3) individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, (4) filed for bankruptcy, or (5) been convicted of a felony, fulfilled internal employer standards, and acceptance of new clients. The following evaluation criteria are also considered: 1-year and 5-year retention rate, administration of non-discretionary client assets, number of households serviced, and designations (e.g., professional, educational). The Award does not evaluate the quality of services furnished to clients and it is possible that the recipient may have received unfavorable ratings from those surveyed. Neither Morgan Stanley nor its Financial Advisors compensated any person or entity to be considered for the Award and the Award is not indicative of the Financial Adviser s future performance. Five Star Professional collected the information for this Award through surveys it conducted. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it. The strategies and or investments discussed in this material may not be suitable for all investors. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments and strategies, and encourages investors to seek the advice of a Financial Advisor.The appropriateness of a particular investment or strategy will depend on an investors individual circumstances and objectives. 2014 Morgan Stanley Smith Barney LLC. Member SIPC. 2221084 02/2014 CRC 819844