Informational Interviews with Daniel Harvey and James Douglas Financial Advisors UBS Financial Services Inc. Presented by: Joseph Miller Nathan Washington BA 200: Managerial Communications March 25, 2005

Overview  UBS Financial Services Inc.  Careers Highlights of Interviewees  Duties of a Financial Advisor  Pros and Cons of Career in Advising  What It Takes  Career Opportunities at UBS

UBS Financial Services Inc.  Profile Parent Company - UBS AG  Switzerland-Based Bank Formally Known as PaineWebber Inc.  November 2000 Merged with UBS AG

UBS Financial Services Inc.  Services Wealth Management Employee Stock Benefits Differed Compensation Consulting Retirement Planning Insurance Products

Financial Advisors  Daniel Harvey B.S. Degree from University of Chicago Series 7 and Series 66 Licenses Licensed in Insurance Products Fourth Year as Advisor at UBS Keynote Speaker in 20 Investment Seminars Currently Pursuing CFP Designation

Financial Advisors  James Douglas B.S. Degree From University Florida Series 7 and Series 66 Licenses Licensed in Insurance Products Fifth Year as Financial Advisor at UBS Keynote Speaker in 15 Investments Seminars Currently Pursuing CFP Designation

Duties of a Financial Advisor  Bring in New Business - 70% Networking Events Referrals From Existing Clients Cold Calling  Manage Accounts of Current Clients - 30% Portfolio Reallocation upon Client Request Investment Recommendations

Duties of a Financial Advisor  Typical Day 1-2 Hours Reading Current Financial News 1-2 Hours Checking Daily Account Activity 3-5 Hours Client Interaction 3-5 Hours Generating New Leads 3-5 Hours Client Meetings

Pros and Cons  Pros Ownership Qualities Compensation Based on Performance Flexible Work Schedule – Set Own Hours Autonomy in Decision Making

Pros and Cons  Cons Limitless Workload Difficult to Separate Work and Social Life Compensation Based on Performance Many Ways to Make Mistakes

What It Takes  Qualifications B.S. in Business-Related Field Minimum GPA 3.5 (4.0 Scale) Experience in Sales Series 7, Series 66, and Insurance Licenses

What it Takes  Attributes Self-Motivated Disciplined Persistent Competitive Spirit Well-Organized

Career Opportunities at UBS  Entry-Level Financial Advisor First Two Years  Compensation: Base Salary  Licensing Requirements  Formal Training  Progressive Goals for New Business

Questions? Thank you.