Our Mission. About Morgan Stanley Wealth Management

Transcription

1 Our Mission Our Approach About Morgan Stanley Wealth Management As an affluent investor, you seek greater simplicity, customized strategies and a high level of service. As your committed financial advisors, we will provide you with experienced and knowledgeable financial advice and quality service, delivered with integrity. We are more than just a wealth management team: it s a distinct philosophy about both money management and the processes by which we help you protect and grow your hard-earned wealth. We believe that all investments must start with a financial plan and that this financial planning process must first and foremost start with you. We will: 1 Understand and define your goals and objectives 2 Develop a customized and transparent financial plan 3 Tailor asset allocation and select appropriate investments 4 Monitor your investments for performance and risk 5 Review your financial plans for changing needs and concerns Morgan Stanley Wealth Management is run as a stand-alone organization within Morgan Stanley, with its own balance sheet, broker dealers and senior management. The Morgan Stanley Global Wealth Management Group combines businesses that have: 1 Nearly 17,000 Financial Advisors 1200 locations around the world $7.8 billion in net revenues $192 million in income $1.9 trillion in client assets $133 billion in bank deposits Whether you re looking for simple financial solutions or the most sophisticated kinds of investments and financial planning, Morgan Stanley Wealth Management serves as your gateway to some of the most robust intellectual capital and global resources in the industry, 1 As of February Overview: Morgan Stanley Wealth Management 225 West Santa Clara Street, Suite 900, San Jose, CA Tel Fax Morgan Stanley Smith Barney LLC. Member SIPC.

2 The Guimarin Ross Group at Morgan Stanley Wealth Management Raised in Europe and Asia and fluent in several languages, Alma Guimarin brings an expansive view and enduring passion to her 28 years as a financial advisor. As a Certified Financial Planner (CFP ), Certified Investment Management Analyst (CIMA ), and members of the Morgan Stanley Wealth Management President s Council and Business Owner Executive Council, she has the resources to meet the complex needs of wealthy individuals and businesses. Alma provides her clients with a wide range of services, including estate planning strategies, retirement, education planning, and charitable giving. In her view, managing risk goes beyond the financial markets. For example, she helps her clients have the appropriate legal and financial arrangements in place designed to help achieve their stage-of-life and investment goals. Perhaps this is why many of them have been with Alma for a decade or more. Likewise, Alma has built a loyal and tight-knit support team at Morgan Stanley Wealth Management. Alma Guimarin, CFP, CIMA Executive Director Family Wealth Director Financial Advisor Alma has been named to The Financial Times 2014 list of America s Top 400 Financial Advisors. She is a member of the Investment Management Consultant Association and the Association of Professional Investment Consultants. In 2015 she was promoted to Executive Director with the firm s Wealth Management office in San Jose and earned the Family Wealth Director designation. Alma studied Economics at Syracuse University and graduated cum laude, and with honors. Outside of work, Alma sits on the executive board of the Santa Clara County Council of the Boy Scouts of America. A former captain in the U.S. Air Force and California native, Michael Ross takes a disciplined approach to investing and managing client relationships for 27 years at Morgan Stanley. Michael joined Morgan Stanley Wealth Management s Portfolio Management Program in 1997 and earned his Certified Investment Management Analyst designation from the Wharton School of Business in Two years later Citigroup Trust Company tapped him for the role of Fiduciary Portfolio Manager. He co-found the Portfolio Management Institute (PMI), of which he is a past president. He is also co-founder of the Academy of Certified Portfolio Managers and current President. He works extensively on portfolio management topics with Columbia University. Michael P. Ross Executive Director Financial Advisor Michael has earned a seat on the Morgan Stanley Wealth Management President s Council and the 2009 Bill Eager Award as Portfolio Manager of the Year from the Portfolio Management Institute based on his dedication and commitment to the client and passion for the markets. He is also a member of the Chartered Financial Analysts Institute and the Investment Management Consultant Association. In 2015, he was promoted to Executive Director with the firm s Wealth Management office in San Jose. Michael holds a Bachelor of Science Degree from the U.S. Air Force Academy, Colorado Springs, Colorado, and a Master of Arts Degree from State University of New York.

3 Our Team Scott Anderson Senior Registered Client Service Associate Laurie Heinly Group Director Financial Planning Associate Arnell Land Portfolio Management Associate Financial Planning Specialist Scott joined Morgan Stanley thru predecessor firms in As a Senior Registered Associate, his primary responsibilities include opening and maintaining client accounts, asset/cash transfers, enrolling clients in online access and various other administrative functions. Scott is a graduate of California State University, Sacramento with a B.A. in Mathematics. Additionally, he holds Series 7 and 63 designations. Scott enjoys watching a multitude of sports and has a newfound interest in international travel. Laurie joined Morgan Stanley thru predecessor firms in 1997, beginning her career as an Operations Manager. She joined the Guimarin Ross Group in 2009 as Group Administrator. As Group Administrator, Laurie is responsible for day-to-day team operations functions. Her experience has contributed greatly to her depth and breadth of knowledge involving such matters as client transactions, client history, account and systems issues, as well as a wide range of nuances indigenous to the industry. Laurie currently holds the Series 7, 8, 63, 65 and life and health insurance designations. She has a B.S. in Business Administration with a concentration in finance from California State University, Fresno. Laurie and her husband, Ken, have two sons, Andrew and Zachary. Arnell has been in the industry for 33 years and with Morgan Stanley through predecessor firms since Her role as Portfolio Management Associate includes handling PM trading and Liquidity management for clients. She also ensures accounts stay in compliance with Firm guidelines. Arnell has developed trust with clients due to her attention to details. In her free time, Arnell enjoys watersports, listening to live music, RVing and spending time with family and friends. She lives in Bakersfield with her husband, Murry and son.

4 Malissa Magallanez Senior Client Service Associate Lisa Morse Senior Client Service Associate Malissa Magallanez, a Senior Client Service Associate, has been in the financial services industry since Leading the team s marketing efforts, she is responsible for crafting all facets of client correspondence to ensure the team s vision is represented and compliant. Malissa also coordinates the group s seminars and events, website content, written communications, and marketing materials. She graduated from New Mexico State University and lives in San Jose with her husband and two girls. She is a board member of the 13th St. Neighborhood Advisory Committee and volunteers with the Friends of Joyce Ellington Library and Friends of Watson Park. Lisa Morse has been with Morgan Stanley through predecessor firms since Her career started as a Client Service Associate then Assistant to the Branch Manager in Menlo Park. She took time off to raise her family, and then joined the Guimarin-Ross Group in 2008 as a Senior Client Service Associate. Lisa is adept at quickly developing trusting relationships due to her effective communication skills, engaging personality and expeditious attention to issues important to clients. She manages Mike and Alma s calendars and enjoys connecting with clients on a daily basis. She fosters strong relationships with our prospects and Strategic Partners. She is also a contributing member of the Marketing Team. Lisa graduated from the University of New Hampshire. She, her husband Mark and their two daughters live in Willow Glen. Lisa coaches field hockey and is an avid Boston sports fan. The newest member of our team, Karena Chan joined the firm as an intern in the second half of 2013 before transitioning to full time beginning in Karena s primary responsibilities include investment product research, portfolio construction analysis and performance attribution. She also provides support by developing custom excel dashboards, leveraging her previous internship experiences at Cisco s Sales and Service Finance and HP s Cloud Automation Product Unit. In her spare time, Karena enjoys reading and traveling.

5 Relationships are built over many years. We want to establish an association with individuals, families and businesses with long term perspectives. The selection of an advisor is one of great importance and should be made with as much data as is available. There are many advisors. Hire based on the people and their experience because they are who you will be working with. We are looking forward to a prosperous and long-lived relationship. CRC /15