Stephen Glynn

Stephen is a Bates consulting and testifying expert specializing in securities and financial services litigation, with expertise spanning employment litigation and wrongful termination, non-compete and non-solicit disputes, broker raiding and recruiting disputes, sales practice violations and compliance failures, supervisory failures and customer complaints, fiduciary duty breaches, suitability claims, fraud claims, and misappropriation of funds.

He brings more than 40 years of experience in wealth management and financial services leadership, having held senior roles at UBS, Wachovia, and Smith Barney, including Market Head, Complex Director, Branch Manager, Sales Manager, and Financial Advisor. At UBS, Stephen served as Chief Operating Officer of the Wealth Management Advisor Group US, where he was responsible for the day-to-day operations of 235 branches nationwide. He also held senior executive roles including Eastern Division Chief Operating Officer, Central Region Chief Operating Officer, and Director of Talent Acquisition and Private Wealth Advisor Recruiting on a national level.

Throughout his career, he has worked closely with senior management and clients across every account type and size, building deep expertise in recruiting and employment practices, supervisory requirements, sales practice supervision, fiduciary obligations, and the suitability standards governing recommendations involving investment products and services.

In 2023, Stephen founded Alpha Wealth Management Consulting, through which he provides coaching and consulting services to financial advisors, branch managers, and senior executives, bringing four decades of hands-on industry experience and leadership to bear on every engagement.