Finance and Investing is pleased to announce our Financial Advisors of San Francisco for 2022. These men and women represent some of the most prominent financial institutions operating in the San Francisco area, including JPMorgan Chase, Wells Fargo, Morgan Stanley and Goldman Sachs. Each of these advisors has proven themselves as stewards of private wealth. Their success is built on a breadth of experience as well as strong personal relationships with their clients. Moreover, the organizations that they represent provide them with resources for creating unique investment strategies for each particular financial situation.
Included in this year’s list is Amy Diehl, an Executive Director and Private Wealth Advisor at Morgan Stanley. Diehl works with c-suite executives, entrepreneurs, and venture capitalists across several sectors, crafting advice that allows all her clients to meet their financial goals. Also included is Patrick Benson, a Senior Financial Advisor at Merrill Lynch Wealth Management, who focuses on getting to know each one of his clients, as well as their family, in order to create a customized financial approach. Meanwhile, Daniel Furhman, a Vice President and Wealth Advisor at William Blair, specializes in clients facing a liquidity event ranging from the sale of a business to retirement, to participation in their company’s IPO.
Please join us in celebrating the accomplishments of our Financial Advisors of San Francisco for 2022.
Jonathan Shane
First VP, Executive Financial Services Director & Financial Advisor, Morgan Stanley
Jonathan Shane is a First Vice President, Executive Financial Services Director and Financial Advisor at Morgan Stanley. He joined the Stern-Hess group in 2011 and is responsible for business development, corporate relationship management, and comprehensive financial planning. With substantial knowledge of Morgan Stanley’s financial planning tool, LifeView, Jonathan provides clients with in-depth analyses of their individual retirement horizon and other long-term goals. His ability to work with clients to help them solve their complex financial issues has made him an integral part of every client relationship. He was recognized and earned membership in the 2018 & 2019 Pacesetter’s Club within Morgan Stanley. These highly sought-after awards are earned through exceptional performance and dedication to clients. Jonathan was also named as a Five Star Wealth Manager for 2020. By earning this honor, Jonathan has shown an outstanding commitment to his clients.
Jonathan is a Bay Area native and attended the University of Arizona, graduating with a Bachelor of Science in Business Economics. He has his series 7 and 66 Securities Licenses as well as his Health and Life Insurance Licenses. In addition, he has completed a Personal Financial Planning course at UCLA. Jonathan is currently studying for his Master of Business Administration and is enrolled at Cornell's Johnson Graduate School of Management.
Vernon Ng
VP of Wealth Management & Financial Advisor, Citi
Vernon Ng is a Vice President of Wealth Management and Financial Advisor at Citi, which he first joined in 2011. The largest financial services company in the world, with assets in excess of $1 trillion, Citigroup Inc. is a product of the 1998 megamerger of banking behemoth Citicorp and non-banking financial services and insurance giant Travelers Group Inc. Today, Citigroup is the third largest banking institution in the United States; alongside JPMorgan Chase, Bank of America, and Wells Fargo, it is one of the Big Four banking institutions of the United States. Citigroup’s businesses provide consumers, corporations, governments and institutions with a broad, yet focused, range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, trade and securities services and wealth management.
Prior to joining Citi, Ng was a financial consultant at Charles Schwab, and before that, worked as a financial advisor at UBS Wealth Management. Earlier in his career, he worked with Smith Barney as an associate. Ng earned an undergraduate degree with a double major in finance and marketing from California State University, Long Beach. Ng also received a specialization in retirement planning from the College for Financial Planning.
Doug Robbins
SVP of Wealth Management, UBS Financial Services
Doug Robbins is a Senior Vice President of Wealth Management at UBS Financial Services, a financial advisory firm engaged in providing retail banking, corporate and institutional banking, and investment banking services. The firm focuses on providing various financial advisory services in the areas of mergers and acquisitions, private placements, brokerage, equity swaps, equity and debt trading, risk management, credit financing, and capital market financing. Additionally, the firm also provides asset management and wealth management services for corporations, institutions, hedge funds, governments, bankers, and brokers. UBS maintains a presence in all major financial centers as the largest Swiss banking institution and the largest private bank in the world. It also maintains numerous underground bank vaults, bunkers, and storage facilities for gold bars around the Swiss Alps and internationally. UBS client services are known for their strict bank–client confidentiality and culture of banking secrecy.
Robbins graduated from the University of California, Los Angeles with an undergraduate degree in economics.
Alex Kim
VP of Private Wealth Management, Goldman Sachs
Alex Kim is a Vice President of Private Wealth Management at Goldman Sachs. He first joined the company in 2015 as an analyst in private wealth management. The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world. It is the second largest investment bank in the world by revenue. The company also invests in and arranges financing for startups, and in many cases gets additional business when the companies launch initial public offerings. To continue providing its clients with creative ideas and solutions for operating effectively in a complex global economy, Goldman Sachs must be fully capable of dealing with different cultures in an informed and nuanced manner.
Prior to being made a Vice President in Private Wealth Management, Kim worked as an Analyst and then an Associate in Private Wealth Management. Previously, Kim was a business banker at M&T Bank. Kim earned an undergraduate degree in public policy and leadership from the University of Virginia.
David Hines
VP & Financial Consultant, Charles Schwab
David Hines is a Vice President and Financial Consultant at Charles Schwab, a multinational financial services company. Charles Schwab offers investors a contemporary, full-service approach to build and manage their investments, providing investment-related products, services, and sophisticated financial planning that combine the best of what people and technology have to offer.
As a Schwab Financial Consultant, Hines helps clients create a better financial life. He specializes in providing advice unique to every situation that is clear, relevant, and actionable. He has experience in wealth management, investing, portfolio analysis, and college planning. Before joining Charles Schwab, Hines was a financial representative at Northwestern Mutual. Hines graduated from Concordia University St. Paul with an undergraduate degree in mathematics.
Brandon Au
Managing Partner & Wealth Management, MassMutual Northern California
Brandon Au is a Managing Partner in Wealth Management at MassMutual Northern California, a holistic financial planning firm that believes in the creation of a comprehensive financial roadmap for its clients. MassMutual believes in building a strong foundation through maximum protection strategies, cash value insurance, and fee-based wealth management solutions. The firm builds balanced financial planning practices where planners own and run their own businesses at an elite level of service for an optimal client experience. It provides support and resources through practice development, professional coaching, continuing education, advanced technology utilization, and financial planning business model integration for planners to not only envision, but to execute – a multi-disciplinary practice.
Brandon Au has over a decade of experience in the financial service industry and excels in his career at MassMutual since 2008. He has earned several awards as a successful Financial Advisor and eventually transitioned to a leadership position as the current Managing Partner at one of the top growth firms for MassMutual. His group offers an array of services from financial planning, asset management, wealth accumulation and protection, risk management, insurance, to estate planning. In addition, his team has a business planning group that focuses on business owners and businesses in protection and growth strategies. Brandon serves as the President of the National Association of Insurance and Financial Advisors (NAIFA) in Silicon Valley and previously for the San Francisco chapter. He was also the Director of Career Development for the Financial Planning Association (FPA) San Francisco Board. Before joining MassMutual Northern California, Au was a director of career development at the Financial Planning Association, and before that, a director of land acquisition at Warmington Residential. Au graduated from Santa Clara University Leavey School of Business with an MBA, and from the University of California, Berkeley with an undergraduate degree in legal studies.
Ashley Pak
VP & Financial Consultant, Fidelity Investments
Ashley Pak is a Vice President and Financial Consultant of Fidelity Investments. Fidelity’s goal is to make financial expertise broadly accessible and effective in helping people live the lives they want by focusing on a diverse set of customers, from 40 million people investing their life savings, to 23,000 businesses managing their employee benefits, to 10,000 advisors needing innovative technology to invest their clients’ money. The firm was established in 1946 and is one of the largest asset managers in the world with $4.5 trillion in assets under management, as of December 2021 their assets under administration amounts to $11.8 trillion. Fidelity offers investment management, retirement planning, portfolio guidance, brokerage, and many other financial products. Privately held for nearly 70 years, Fidelity has always believed by providing investors with access to the information and expertise, it can help them achieve better results. That’s been its approach—innovative yet personal, compassionate yet responsible, grounded by a tireless work ethic—it is the heart of the Fidelity way.
Pak is an experienced Financial Consultant with a demonstrated history of working in the financial services industry. She is skilled in banking, securities, asset Management, retirement planning, and equities. Prior to joining Fidelity Pak worked for several years as an Assistant Vice President and Financial Advisor at Merrill Lynch. She is a graduate of San Francisco State University College of Business.
Thomas Kendrick
Senior Financial Advisor & SVP, Merrill Lynch
Thomas Kendrick is a Senior Financial Advisor and Senior Vice President at Merrill Lynch, the largest retail brokerage house in the United States, the leading U.S. investment banker, and a global leader in debt and equity underwriting, bond underwriting, and merchant banking. It provides brokerage and investment banking services to governments, companies, and individuals throughout the world. Other lines of business include clearing services, retail banking, and insurance. Merrill Lynch rose to prominence on the strength of its network of financial advisors, sometimes referred to as the "thundering herd", that allowed it to place securities it underwrote directly. With a deep commitment to placing their clients' interests first, Merrill financial advisors draw upon the investment insights of Merrill and the banking insights of Bank of America to unlock opportunities tailored to their clients’ needs in many areas of their financial lives. Merrill aims to be the preeminent financial management and advisory company in the world. It is a drive firmly rooted in the things it values most: its intelligence, its principles and its optimism.
Tom Kendrick joined Merrill Lynch in September of 1985. Tom works with clients in developing long-term programs and strategies to manage their personal and business finances. These strategies focus on retirement, investment management and legacy planning.
Amy Diehl
Executive Director & Private Wealth Advisor, Morgan Stanley
Amy Diehl is the Executive Director and Private Wealth Advisor of Morgan Stanley. For over 85 years, the firm’s reputation for using innovative thinking to solve complex problems has been well earned and rarely matched. It provides first-class service and a high standard of excellence to its clients, in a way that reflects its commitment to creating a more sustainable future and fostering stronger communities around the world.
Diehl provides highly customized wealth management solutions for family offices and ultra-high net worth families with extreme attention to detail. She advises entrepreneurs, c-suite executives and venture capitalists in the technology and healthcare sectors. Diehl has spent her career advising clients on strategies to preserve and grow their wealth with timely advice prior to raising a financing round, an IPO, or a merger or acquisition. She and her team advise clients on all aspects of their balance sheets including private and public investments, sophisticated estate and charitable planning strategies, credit to meet liquidity needs, executive compensation best practices, and simplification of their day-to-day financial lives. They provide comprehensive advice across complex balance sheets to help their clients achieve their financial goals and best position their families for the future. Before joining Morgan Stanley, Diehl was an executive director of Private Banking at J.P. Morgan. Diehl graduated from the University of Michigan - Stephen M. Ross School of Business with an undergraduate degree in finance and undergraduate degrees in Spanish language & literature.
Sarah Rossi
Financial Advisor, JPMorgan Chase
Sarah Rossi is a Financial Advisor at JPMorgan Chase, which she first joined in 2018. For over 200 years, JPMorgan Chase & Co has provided innovative financial solutions for consumers, small businesses, corporations, governments and institutions around the world. Today, JPMorgan Chase is a leading global financial services firm with operations servicing clients in more than 100 countries. Whether it’s serving customers, helping small businesses, or putting its skills to work with partners, the firm strives to identify issues and propose solutions that will propel the future and strengthen both its clients and its communities. JPMorgan Chase demands financial rigor and risk discipline, strives for the best internal governance and controls, acts and thinks like owners and partners, and strives to build and maintain the best and most efficient systems and operations.
Prior to joining JPMorgan Chase, Rossi spent several years as a Finance Manager at NewCap Partners. Earlier in her career, she worked with Goldman Sachs as a financial analyst. Rossi earned a master’s degree in finance from Stanford University, and undergraduate degrees in finance, financial management services, mathematics, and computer science from Sapienza Università di Roma.
Chris Hall
Financial Advisor, Wells Fargo Advisors
Chris Hall is a Financial Advisor at Wells Fargo Advisors, a diversified, community-based financial services company with approximately $1.9 trillion in assets. Wells Fargo’s vision is to satisfy its customers’ financial needs and help them succeed financially. Founded in 1852, Wells Fargo provides banking, investment and mortgage products and services, as well as consumer and commercial finance, through more than 7,300 locations, 12,000 ATMs, the internet and mobile banking, and has offices in over 40 countries and territories to support customers who conduct business in the global economy. Wells Fargo is strengthening economic opportunities in underserved communities by empowering individuals and small businesses with the products, services, knowledge, and tools needed to ensure financial self-sufficiency, income mobility, and ultimately, improved well-being and quality of life.
Hall has been with Wells Fargo Advisors since 2008. Hall graduated from the University of Georgia - Terry College of Business with an undergraduate degree in finance.
Patrick Benson
Senior Financial Advisor & VP, Merrill Lynch Wealth Management
Patrick Benson is a Senior Financial Advisor and Vice President of Merrill Lynch Wealth Management, which he first joined in 2014. Founded in 1914, Merrill is one of the largest wealth management businesses in the world. Merrill financial advisors combine financial knowledge and experience with a deep understanding of their clients’ needs to help their clients pursue the lives they want. The strategies that Merrill financial advisors offer go beyond investment management to include college savings strategies, retirement planning, eldercare, philanthropy, estate planning services, small business services, and access to cash management & banking strategies. Merrill Lynch Wealth Management, a national investment advisory firm with offices in most major and mid-sized U.S. cities, is a subsidiary of Bank of America and Merrill Lynch.
Benson focuses on offering a comprehensive approach to managing wealth that begins with getting to know his client and client's family, financial situation, and what matters most to them. He then creates a customized wealth management approach that can be flexible as their needs and market conditions change. Benson provides access to the investment insights of Merrill and banking convenience of Bank of America to help address the various aspects of clients' financial lives. Benson graduated from Amherst College with an undergraduate degree.
Jeff Leong
Financial Advisor, Citi Personal Wealth Management
Jeff Leong is a Financial Advisor at Citi Personal Wealth Management. Citi Personal Wealth Management provides customized financial planning strategies to fit their client’s goals. It is their dedication to their clients that has helped them receive Kiplinger’s Best Bank for six years in a row. They have shown success in supporting high-net-worth clients, helping them create an investment plan for the future.
Leong has held several positions in money management in his career, including working as a Financial Advisor at Merrill Lynch and a Senior Premier Client Manager at Bank of America. Prior to joining Bank of America, Leong spent 10 years with Wells Fargo, working in several roles including Branch Manager and Licensed Premier Banker. Leong graduated from San Francisco State University with a Bachelor of Business Administration, as well as Accounting and Business/Management.
Michelle Raczek
VP & Financial Consultant, Charles Schwab
Michelle Raczek is a Vice President and Financial Consultant at Charles Schwab. The Charles Schwab Corp is one of the largest discount brokerages in the world. It has been a leader in financial services for more than four decades. Charles Schwab is also a savings and loan holding company that offers financial services, primarily investment solutions. Through advocacy and innovation, the company has worked to make investing more affordable, more accessible, and more understandable to all. The firm’s Investor Services segment includes retail brokerage and banking services to individual investors, retirement plan services, as well as other corporate brokerage services to businesses and their employees. The Advisor Services segment provides custodial, trading, retirement business, and support services as well as retirement business services, to independent registered investment advisors, independent retirement advisors, and recordkeepers.
Raczek graduated from UNH Peter T. Paul College of Business and Economics with an undergraduate degree in business administration. She has also gained both her Series 7 and her Series 66 and is a Certified Financial Planner by the CFP Board.
Trang Ta
VP & Financial Solutions Advisor, Bank of America Merrill Lynch
Trang Ta is a Vice President and Financial Solutions Advisor at Bank of America Merrill Lynch, which she first joined in 2015. Bank of America is one of the world’s leading financial institutions, serving individual consumers, small and middle-market businesses and large corporations with a full range of banking, investing, asset management and other financial and risk management products and services. It is the second-largest banking institution in the U.S., and the second largest bank in the world by market capitalization. The company provides unmatched convenience in the United States, serving approximately 68 million consumer and small business clients with approximately 3,900 retail financial centers, approximately 16,000 ATMs and award-winning digital banking with approximately 56 million verified digital users. Bank of America is a global leader in wealth management, corporate and investment banking and trading across a broad range of asset classes, serving corporations, governments, institutions and individuals around the world.
Previously, Ta was a brokerage associate at Wells Fargo Advisors. Prior to this position she spent five years with Wells Fargo, working as a Premier Banker and then Regional Bank Private Banker. She currently has an investment series 7,6, 63, and 65 as well as a California Insurance License. Ta earned an MBA from Louisiana Tech University, and an undergraduate degree in business administration from National Economic University.
Oliver Choy
Financial Advisor & VP, Ameriprise Financial Services
Oliver Choy is a Financial Advisor and Vice President of Ameriprise Financial Services, a diversified financial services company and bank holding company that provides financial planning products and services, including wealth management, asset management, insurance, annuities, and estate planning. Ameriprise is one of the largest financial planning companies in the United States and is among the 25 largest asset managers in the world, with more than $1.2 trillion in assets under management and administration. Over the years, Ameriprise has helped millions of people invest billions of dollars so they may pursue what's important to them. Its approximately 10,000 financial advisors work with clients one-to-one to deliver personalized financial advice to help them achieve their goals, today and tomorrow, through the company’s Confident Retirement® approach.
Choy has spent over two decades in financial advising, and his areas of expertise include tax planning, retirement planning, investments, estate planning, cash flow management, and insurance. Before joining Ameriprise Financial Services, Choy was a financial consultant at Wells Fargo. Choy graduated from San Francisco State University.
Jeff Frankos
SVP of Wealth Management, Raymond James
Jeff Frankos is a Senior Vice President of Wealth Management at Raymond James. Founded in 1962 and a public company since 1983, Raymond James Financial, Inc. is a Florida-based diversified holding company providing financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management. Through its three broker/dealer subsidiaries, Raymond James Financial has approximately 8,600 financial advisors throughout the United States, Canada and overseas. Raymond James believes it’s in the business of helping people achieve their dreams, support their families, grow their businesses, and improve their communities. That's true for clients, as well as its advisors and associates. The firm has been recognized nationally for its community support and corporate philanthropy and has been ranked as one of the best in the country in customer service, as a great place to work and as a national leader in support of the arts.
Frankos first got his start in 2002 as a supervisory manager at Smith Barney. From there, he went on to Thomas Weisel Partners, before eventually rising to executive director at J.P. Morgan, his most recent position prior to joining Raymond James.
Carrie Zhou
Senior Private Client Advisor & VP, Bank of the West
Carrie Zhou is a Senior Private Client Advisor and Vice President at Bank of the West. Bank of the West is a subsidiary of the French international banking group BNP Paribas and has more than 600 branches and offices in the Midwest and Western United States. With community bank roots dating back more than 140 years, Bank of the West operates a network of retail, wealth, commercial and business banking branches and offices in 24 states. The company takes action to support activities that help protect the planet, improve people’s lives, and strengthen communities. It is redefining banking for a better future by focusing on areas where it believes it can have a real impact: supporting energy transition, helping enable women entrepreneurs, and financing innovative start-ups. As the bank for a changing world, Bank of the West is committed to sustainable finance along with its parent company.
Previously, Zhou was a Managing Director at Golden Gate Global, and before that, she worked as a Managing Director of Investor Relations at Urbanite Capital. Earlier in her career, she worked with the Elite Educational Institute as an Assistant Director. Zhou earned an MS in international employment relations and human resource management from The London School of Economics and Political Science, and an undergraduate degree in business administration and management from the University of Shanghai for Science and Technology.
Dan Holligan
VP of Investments in TWP Private Wealth Management, Stifel Financial
Dan Holligan is a Vice President of Investments at TWP Private Wealth Management of the Stifel Financial Corp., a diversified financial service holding company that conducts its business through several wholly owned subsidiaries. Its primary broker-dealer subsidiary, Stifel, Nicolaus & Company, Incorporated, is one of the nation’s premier full-service financial services firms. Established in 1890, Stifel, Nicolaus & Company provides brokerage, trading, investment banking, investment advisory, and related services to individual investors, professional money managers, businesses, and municipalities through more than 390 locations across the nation. It ranks as the 7th largest brokerage firm in the country as measured by number of financial advisors, with approximately 2,300, and features a highly regarded equity research department that has earned numerous accolades from such publications as The Wall Street Journal, Forbes, and the Financial Times.
Hooligan’s specialties include private equity, venture capital, hedge funds, corporate development, and asset management. Before joining Stifel Financial, Holligan was an analyst at Thomas Weisel Partners. Holligan graduated from Princeton University with an undergraduate degree in politics.
Daniel Furhman
VP & Wealth Advisor, William Blair
Daniel Furhman is a Vice President and Wealth Advisor at William Blair. William Blair & Company is a multinational independent investment bank and financial services company focusing on investment banking, investment management, and private wealth management. The firm has a unique independent global partnership with a long-tenured employee base. This special structure gives the firm’s various businesses the freedom to grow while aligning across its culture and vision to be the premier global boutique. Its investment banking business had a record-breaking year of impact in 2021, unlocking more than $290 billion in value for clients globally. Its Private Wealth Management serves high-net-worth individuals, families, business owners, foundations, and endowments. William Blair’s geographic footprint continues to grow with recent expansion into Singapore, Amsterdam, Denver, Stamford (Connecticut), and Washington, D.C., expanding its presence in over 20 cities around the world.
Furhman’s practice is focused on working with clients facing a liquidity event such as a job change, the sale of a business, retirement, an inheritance, or participation in their company’s IPO. Through the resources at William Blair, Furhman provides his clients with access to proprietary growth strategies, concentrated position management, alternative investment ideas, and comprehensive financial planning as needed.
Before beginning his career in finance, he served as a prosecutor for the Cook County State’s Attorney’s Office in Chicago. Dan is a member of the Bar Association of San Francisco, is a member of the Marin County Estate Planning Council, is a member of the San Francisco Estate Planning Council, and served as the former co-chair of the Probate and Estate Planning Section of the Marin County Bar Association and the former chair of the Chicago Bar Association’s Financial Institutions Committee. He is a non-practicing licensed attorney in Illinois. Furhman graduated from Chicago-Kent College of Law, Illinois Institute of Technology with a JD, and from the University of Arizona with an undergraduate degree in psychology.
Dave Fernandez
VP & Financial Advisor, CAPTRUST
Dave Fernandez is a Vice President and Financial Advisor at CAPTRUST, which he first joined in 2018. CAPTRUST Financial Advisors is one of the largest independent retirement plan and investment advisory firms in the country. It specializes in providing consultative advisory services to retirement plan sponsors, endowments, foundations, institutional investors, executives, and high net-worth individuals. Its size allows the firm to have resources in-house that most firms simply don’t have. This includes professional financial planning, client service, and investment research teams. The founders of CAPTRUST joined together to provide institutional and private investors an independent and objective choice for financial advice and fiduciary support. For wealth management clients, CAPTRUST offers a best-in-class experience, thanks to the firm's centralized model, which is supported by highly specialized talent with deep expertise.
Fernandez is a detail-oriented finance professional with extensive experience. He is able to leverage technological enhancements to drive continuous improvement, as well as risk-reduction and cost savings. He maintains relationships with multiple custody banks and negotiates Service Level Agreements for individual clients. Previously, Fernandez was a portfolio manager at Watermark Asset Management Inc, and before that, a manager of securities lending operations, and VP at BlackRock. Earlier in his career, he worked with Barclays Global Investors as a securities lending associate. Fernandez earned an undergraduate degree in financial management from California Polytechnic State University-San Luis Obispo.
Michael Cox
SVP & Wealth Manager, First Republic Private Wealth Management
Michael Cox is a Senior Vice President and Wealth Manager at First Republic Private Wealth Management. The company develops wealth management strategies that address a client’s complete financial picture. First Republic clients work with a single wealth advisor who coordinates a team of banking, investment management, trust and brokerage professionals who work together to address each unique situation. First Republic Private Wealth Management provides both investment management services and brokerage services.
Cox’s team actively manages investment portfolios of their own design. Each of their uniquely managed individual stock portfolios is aimed at outperforming the market over the long-term. He was recognized as a Top Next-Gen Wealth Advisor by Forbes in 2022. Before joining First Republic Private Wealth Management, Cox was a team financial advisor at Merrill Lynch. Earlier in his career, he worked with First Republic Private Wealth Management as an associate. Cox graduated from the University of Connecticut School of Business with an undergraduate degree in finance and financial management services.
Jason Nossiter
VP & Financial Advisor, Bernstein Private Wealth Management
Jason Nossiter is a Vice President and Financial Advisor at Bernstein Private Wealth Management, a wealth management firm established in 1967. Bernstein Private Wealth manages portfolios and provides investment and wealth planning services for individuals and families, business owners, family trusts and foundations, and other financial guardians. The firm invests in alternatives, fixed income, and real estate markets across the globe. Bernstein Global Wealth Management operates as an investment arm of AllianceBernstein Holding. The assets of the firm are managed and governed by an executive management team. The firm partners and serves as its clients’ financial confidante, using real-world experience and impactful insights to help them solve increasingly complex challenges that extend well beyond wealth management.
Nossiter has held several positions at Bernstein Private Wealth Management, including private client associate and client advisor. Nossiter first got his start in 2006 as an associate at On The T Capital LLC. From there, he went on to Bancroft Partners LLC as an analyst, his most recent position prior to joining Bernstein Private Wealth Management. He currently serves as a Board Member for The Guardsmen, as well as serving on the Alumni Council for the French American International School in San Francisco. Nossiter graduated from the University of California, Santa Barbara with an undergraduate degree in political science.
Chris Gallo
VP & Financial Advisor, Hilltop Securities
Chris Gallo is a Vice President and Financial Advisor at Hilltop Securities, which he first joined in 2013. Hilltop Securities helps advance the financial opportunities of communities, businesses, and individuals alike. The firm was born out of the fusion of two respected and successful firms with complementary business lines: First Southwest Company, a broker-dealer founded in 1946 and known for its municipal advisory practice, and Southwest Securities Inc., a full-service broker dealer since 1972. Hilltop’s wealth of product knowledge and diversity of services, including risk and cost analysis, enables the firm to find sound solutions tailored to meet their client’s needs. When serving as advisor, the firm explores proposed solutions through candid conversations and a realistic look at the anticipated results.
Gallo’s expertise at helping clients achieve their financial goals has been seasoned by 26 years of experience successfully navigating choppy markets and maintaining goal-centric investment strategies. His client relationships are built on a mutual trust that has thrived through multiple generations. Previously, Gallo was a VP and financial advisor at UBS, and before that, a financial advisor at Wells Fargo. Earlier in his career, he worked with Salomon Smith Barney as a second VP. Gallo earned an undergraduate degree in finance from Santa Clara University.
Suzette Barnes
VP of Wealth Management Litigation, Morgan Stanley
Suzette Barnes is a Vice President of Wealth Management Litigation at Morgan Stanley. As an accomplished Corporate/Commercial Litigator, she has developed a successful career encompassing business law, SEC investigations and commercial litigation matters. Barnes has found her success has been achieved by delivering legal advice and support to leadership teams, facilitating extensive internal/external investigations and providing guidance on relevant compliance standards to maintain internal control. She specializes in developing legal strategy and support for Fortune 100 and start-up companies, as well as creating standards and best practices for protecting corporate interests. As a collaborative business partner, she has aided numerous organizations in maintaining corporate control and governance by leading the full corporate litigation process.
Barnes provides pro bono services to asylum seekers, veterans seeking VA benefits, homeless individuals seeking the resolution of open warrants, and low-income individuals seeking criminal record remedies (including expungements). She is the Co-chair of Orrick’s San Francisco Office’s Diversity Committee and previously served on the firm’s Summer Associate Committee, the Lateral Committee, and the committee for Orrick’s annual Diversity & Inclusion Day. She is the Vice-President of the Black Women Lawyers of Northern California and a Board member for the Lawyers’ Committee for Civil Rights of the San Francisco Bay Area. She was recently chosen as one of the National Black Lawyers: Top 40 Under 40 for 2019. Barnes first got her start in 2011 as a litigation fellow in the office of general counsel at University of California Office of the President, before eventually rising to senior associate attorney at Orrick, Herrington & Sutcliffe LLP, her most recent position prior to joining Morgan Stanley. Barnes graduated from the University of California, Hastings College of the Law with a JD, and from the University of Florida with an undergraduate degree in economics.
