Robert is a Bates Testifying Expert who has testified on alternatives, portfolio management, suitability, supervision, oil and gas investments, structured notes, options, security back lending, senior investors, annuities, sales practices, damages including taxes, Puerto Rico debt, family law involving investments, international equities and debt, industry standards and product knowledge.
He retired May 2017 after 23 years at UBS as an Executive Director. He has worked in the financial services industry as a Financial Advisor, Sales Manager, Branch Manager, Complex Manager and State Manager.
Robert has sold and supervised equities, debt, security backed lending, managed portfolios, alternative investments, option strategies, structured notes, annuities, and insurance products. He has supervised the sales and he has done the ongoing compliance and client activity contact calls of all of these products.
Robert was certified by UBS as a portfolio manager in 1997. UBS is the world’s largest wealth manager and the world’s largest private bank. It manages over $2 trillion in client portfolios.
He was on the advisory committee for UBS for the Portfolio Management Group 2005 - 2009.
Robert was on the UBS Financial Planning Advisory Council committee from 2007 to 2017. He gave input and taught advisors and planners how to meet with clients, create and implement financial plans.
Robert retired from UBS and joined Bates Group LLC as an expert witness in May 2017. He is now a Senior Financial Litigation Consultant
Robert is a consultant and subject matter expert in:
Suitability; Supervision and Sales Practices; Alternative Investments, Limited Partnerships, Private Equity, and Structured Products
Credentials
EXPERIENCE
Bates Group, Testifying Expert, Austin, TX, 2017 – Present
- Areas of expertise: alternatives, portfolio management, compliance and supervision, oil and gas investments, structured notes, options, security back lending, senior investors, annuities, sales practices, damages including taxes, Puerto Rico debt, family law involving investments, international equities and debt.
UBS Financial Services (formerly Paine Webber), Financial Advisor, Sales Manager, Branch Manager, Complex Manager, State Manager, 1994 – 2017
Oppenheimer and Co., Financial Advisor, Limited Partner, 1987 – 1994
Bear Stearns, Financial Advisor, 1982 – 1987
EF Hutton, Financial Advisor, 1980 – 1982
Merrill Lynch, Financial Advisor, 1977 – 1980
EDUCATION
Bachelor of Arts (BA) Finance with honors, Minor: Tax Accounting, Boston College, Chestnut Hill, MA
PROFESSIONAL QUALIFICATIONS
- Member of the UBS Financial Planning Advisory Council, 2007 - 2017
- Member of the PMP Advisory Council, 2005 - 2009
- Portfolio Management Program Certified, 1997
- PaineWebber Directors Council, 1996
- PaineWebber Equity Institute, 1995
LICENSES
- FINRA Series 3, 5, 7, 8, 24, 63, and 65 (formerly held)
- Securities Industry Essentials Examination
- Licensed in insurance and variable annuities in each state in which resided.