Raleigh, NC 3700 Glenwood Avenue Office

Roberto Reyes is a financial advisor at UBS Financial Services with eight years of industry experience. He holds the Series 66 designation and has worked at UBS since 2020. His prior experience includes roles at L&V Trading, WFP Securities, and Merrill. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including fee-based financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management services and uses proprietary research and model-based asset allocations to tailor plans to clients’ goals and risk tolerances.

Donald Monroe is a financial advisor with UBS Financial Services in Raleigh, NC, holding Series 63 and Series 65 credentials and having 42 years of industry experience. He has been with UBS since 2009. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, leveraging proprietary capital market research and model-based asset allocations to tailor client plans. The firm combines institutional trading capabilities with wealth management services, including futures commission merchant activities and principal trading.

Thomas Lappin is a financial advisor with UBS Financial Services in Raleigh, NC, holding Series 63 and Series 66 credentials and eight years of industry experience. His prior roles include positions at Brown, Gibbons, Lang & Company Securities, Inc., Madison Street Capital, and Brown University. UBS Financial Services serves individual, corporate, and institutional clients through a combination of brokerage and investment advisory offerings, utilizing proprietary capital market assumptions, model-based asset allocations, and research from its Chief Investment Office and UBS Global Research to tailor financial plans and portfolio management. The firm integrates institutional trading capabilities with wealth management services, including futures commission merchant activities and principal trading.

Michael J. Lappin is a financial advisor with UBS Financial Services in Raleigh, NC, holding Series 63 and Series 65 credentials and bringing 31 years of industry experience. He has been with UBS since 2012. Outside of his advisory role, he is involved in several business ventures including partnerships in fishing tournaments, professional ice hockey ownership, and a charter fishing business. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, employing proprietary capital market assumptions and model-based asset allocations to tailor plans aligned with clients’ goals and risk tolerances. The firm combines institutional trading capabilities with wealth management services, including futures commission merchant activities and principal trading.

Daniel Geiger is a financial advisor with UBS Financial Services in Raleigh, NC, holding a Series 66 designation and seven years of industry experience. His prior roles include positions at NWN Corporation and North Carolina State University. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, combining proprietary research and model-based asset allocations to tailor plans to clients' goals and risk tolerances. The firm integrates institutional trading capabilities with wealth management services, operating as a broker-dealer, investment adviser, and futures commission merchant.

Gregory Sieber is a financial advisor at UBS Financial Services in Raleigh, NC, holding a Series 66 designation with 26 years of industry experience. He has been with UBS since 2015. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory services, including fee-based financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management, offering a broad range of capital markets services and proprietary research.

Bruce Sharpe Jr. is a financial advisor with UBS Financial Services based in Raleigh, NC, holding a Series 66 credential and six years of industry experience. He previously worked at JLT Specialty Insurance Services Inc. for five years before joining UBS in 2019. Sharpe has been active in the Washington & Lee Alumni Association since his 2003 graduation and manages business administration for a small investment LLC. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, combining institutional trading capabilities with wealth management services to tailor strategies based on proprietary research and capital market assumptions.

Jackson Phillips is a financial advisor at UBS Financial Services with a Series 66 designation and one year of industry experience. Prior to joining UBS in 2026, he worked at Wells Fargo for two years. His background includes diverse roles outside finance, such as positions with Jordan Lake State Park and various consulting and media-related engagements. UBS Financial Services Inc. serves individual, corporate, and institutional clients through a range of brokerage and advisory offerings, including fee-based financial planning and portfolio management. The firm integrates institutional trading capabilities with wealth management services and utilizes proprietary research and model-based asset allocations to tailor client strategies.

Roger Paton is a financial advisor with UBS Financial Services in Raleigh, NC, holding a Series 66 designation and 22 years of industry experience. He worked at Merrill from 1984 to 2017 before joining UBS in 2017. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management services and offers a range of capital markets activities and proprietary research.

Brendan Farrell is a financial advisor at UBS Financial Services with seven years of industry experience. He holds a Series 66 designation and has worked previously at Capitol Financial Solutions and Avalara. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including fee-based financial planning and discretionary portfolio management. The firm combines institutional trading capabilities with wealth management services and utilizes proprietary research and model-based asset allocations to tailor advice for clients.

Jon Stephenson is a financial advisor with UBS Financial Services in Raleigh, NC, holding Series 63 and Series 65 credentials and bringing 21 years of industry experience. He has been with UBS since 2012. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including fee-based financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management services and leverages proprietary research and model-based asset allocations to tailor strategies to client goals.

Alexis Blanks is a financial advisor at UBS Financial Services with 16 years of industry experience. He holds a Series 66 designation and has been with UBS since 2011. Outside of his advisory work, he is a partner involved in the operation of Bay Hale Farm LLC, an agricultural business in Raleigh, NC. UBS Financial Services serves individual, corporate, and institutional clients by offering brokerage and investment advisory services that include financial planning, portfolio management, and access to alternative products, combining institutional trading capabilities with wealth management.

Parker Smith is a financial advisor with UBS Financial Services in Raleigh, NC. He holds a Series 66 designation and began his advisory career in 2025 after prior roles at United Community Bank and the University of Mississippi. UBS Financial Services serves individual, corporate, and institutional clients by offering brokerage and investment advisory services, including financial planning, portfolio management, and distribution of mutual funds and alternative products. The firm combines institutional trading capabilities with wealth management services and utilizes proprietary research and model-based asset allocations to tailor client strategies.

Moira Trott is a financial advisor at UBS Financial Services with seven years of industry experience. She holds a Series 66 designation and has been with UBS since 2017. Prior to her advisory role, she worked at B&B Catering Inc. and Fayetteville Technical Community College. She is also involved as secretary in a plumbing and mechanical services business operated by her partner. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and advisory offerings, including fee-based financial planning and portfolio management. The firm blends institutional trading capabilities with wealth management services, leveraging proprietary research and model-based asset allocations to tailor strategies to client goals.

Elizabeth Alexander is a financial advisor at UBS Financial Services with 11 years of industry experience. She has been with UBS since 2016 and holds a Series 66 designation. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, combining institutional trading capabilities with wealth management services to tailor plans based on proprietary research and model-based asset allocations.