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UBS Lures Seven Financial Advisors From Rival Wirehouses

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UBS Wealth Management Americas has lured seven financial advisors to its firm who previously had $1.175 billion in assets under management.

In Toledo, Ohio, three financial advisors operating under the name Findley/Wise Group join from Bank of America Merrill Lynch.

They include Craig Findley, who joins as managing director; Ken Wise, managing director; and Brian Funkhouser, first vice president. Together, they previously oversaw more than $800 million in client assets and had $6.3 million in annual fees and commissions.

Findley joins UBS after more than eight years at Merrill Lynch, according to his public registration records with the Financial Industry Regulatory Authority, following stints at Citigroup Global Markets and Everen Securities. Wise also served for more than eight years at Merrill Lynch, FINRA records show, and previously held positions at Citigroup and Lehman Brothers. Funkhouser served at Merrill Lynch for more than seven years.

The team, which has been registered with UBS since Dec. 14, reports to UBS branch manager Jeffrey Catlin.

In Rochester, N.Y., a four-member financial advisor team joins from Morgan Stanley Smith Barney.

That team includes Rocco Pietropaolo, who joins as senior vice president of investments; and Michael Amico, Michael Cooper and Philip J. DiPasquale, who all join as vice presidents of investments. Together, they previously had $375 million in client assets under management.

Pietropaolo first joined Morgan Stanley in November 1991, according to his FINRA registration records, and subsequently served at Citigroup and subsequently Morgan Stanley Smith Barney.

Amico also came to Morgan Stanley Smith Barney through Citigroup, which he joined in July 1993, according to his registration records with FINRA, and has also worked at Lehman Brothers and E.F. Hutton & Co.

Cooper served at Morgan Stanley Smith Barney for more than two years, FINRA records show, following about eight years at Citigroup. DiPasquale also served at Morgan Stanley for more than two years following almost six years at Citigroup.

The team has been registered with UBS since Dec. 15 and reports to Sam Messina, executive director and complex director for New York state.

Lorie Konish writes for On Wall Street.




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