Senior Portfolio Manager
Morgan Stanley Smith Barney
805 SW Broadway, Suite 2300
Portland, OR 97205
Phone: (503) 221-7616
E-mail: rick.grimshaw@mssb.com
Rick Grimshaw, CIMA®, joined legacy Smith Barney in 2004 after 14 years at Prudential Securities. While there, he chaired the National FA Advisory Council for two years, served as Assistant Branch Manager/Assistant Complex Manager and continued to build his Quantum Portfolio Management practice, which started in 1995. His practice revolves around portfolio management, offering four distinct strategies, plus third-party managers, aimed at serving the investment needs of high-net worth individuals. Rick is a graduate of the University of Oregon [1976], with dual degrees in Management and Communications. He is active in IMCA, Rotary, and the Episcopal Diocese of Oregon. He completed Smith Barney’s Leadership Development Program in 2007. Rick began his investment career in 1983 at Merrill Lynch.
He attended the first PMI Forum in Dallas, 2005, when he was elected to the PMI Board of Directors; served on the PMI Forum committee for Chicago, 2006; Chaired the 2007 Forum in Phoenix, and continues to assist with coordination of many aspects for each Forum. In addition, Rick chaired a long-range planning effort for PMI in 2007, chaired the website/communications committee in 2008 and was involved in interviewing and selection of PMI’s management company in 2005. He was elected to a second term on the PMI Board in 2008 and named as President at the Atlanta Forum in 2010. He completed the CPM curriculum in May, 2010.
Rick resides in West Linn, Oregon with his wife of nearly 30 years, Vickie. Children Bryan, 24, graduated from Eastern Oregon University in 2009 with a B.S. in General Sciences/Geology; daughter, Katie, is a sophomore at Portland State University majoring in communications.
Kevin graduated from Washington & Lee University in Virginia with a degree in Accounting and entered the investment industry as an analyst for Branch Cabell in Richmond, Virginia where he eventually served as Director of Research. He joined Legg Mason in 1989 to form a partnership with both his father and grandfather which continues with his father today. He began working with Legg Mason's PM equivalent program in 1992 and currently manages $182 million under that program representing the primary focus of his practice. During that time Kevin worked closely with Legg Mason's management to develop general enhancements to the program as well as improving specific areas such as billing, client reporting and portfolio management tools. His broader commitment to the firm included long-term membership on the FA Technology Steering Committee and membership in the firm's Advisory Council.
Kevin was awarded the CFA designation in 1991, the CFP in 1991 (no longer active) and is a NYSE Supervisory Analyst. A resident of Raleigh, NC with wife of 18 years, Perri, daughter Tyler and son Garrett. He is currently a member of the Board of Trustee of the Hayes Barton United Methodist Church, Chair Washington & Lee Alumni Admissions Eastern NC and serves with several other community organizations.
Kathy has been an active board member of PMI since 2007, involved in numerous capacities and serving as past chair of the Web-site and Membership committees. In 2010 she was elected Secretary/Treasurer and looks forward to a very successful year.
Kathy has been a Morgan Stanley Smith Barney Financial Advisor since 1990. She has a BA in Computer Science and a MBA from CanisiusCollege in BuffaloNY. Kathy is a Certified Financial Planner and became a Senior Portfolio Manager in 1996. This year she earned the Certified Portfolio Management designation from the Colubmia University. Her professional business is centered on comprehensive financial planning and portfolio management for individuals.
Kathy and her husband Bruce have been life-long residents of Western New York where they raise their two sons Ed and Victor. Active within the community, Kathy currently serves as a board member for: The GOW School, a college prep school for young men with learning disabilities, the Western New York International Dyslexia Association and SaintFrancisHigh School.
Senior Vice President - Wealth Management
Porfolio Management Director
Morgan Stanley Smith Barney
31 West 52nd Street, 23rd Floor
New York, NY 10019
Phone: 212-230-3601 / 800-654-1557
Fax: 212-593-9041
Email: jerrold.p.tepper@mssb.com
The husband and wife team of Jerrold Tepper and Jessica Marshall assists corporate executives, professionals, business owners and retirees in building and managing their investment portfolios. Jessica has been a financial counselor since 1981. Jerry joined the team in 1989 after serving as vice president with Banker’s Trust for over eight years. In recognition of their excellence, they have been appointed to various firm advisory councils and serve as mentors to other Financial Advisors. Prior to joining Smith Barney in 1994, Jerry and Jessica were with Prudential Securities.
Jessica graduated from Finch College and received an MBA from Bernard Baruch College. Jerry graduated from Rutgers University and received Master’s Degrees from City University of New York and The New School for Social Research. Jerry has also held positions at American Express Corporation and was the worldwide Director of Training and Development for the American Society of Travel Agents (ASTA) in the late 1970's. He was also a practicing licensed psychotherapist prior to making a career shift into the corporate world. Jessica and Jerry maintain residences in Manhattan and Dutchess County, New York.
Jerry and Jessica have been married for thirty three years. Jessica was a gold-level ice skater. Jerry is a serious gardener. Both are dog lovers.
Gary has been a member of PMI since its inception and was elected to the PMI board in 2008. He is currently the Forum Chair (2011) and was co-chair of the 2010 Forum Committee (Atlanta, GA).
Gary Klingner joined EF Hutton in 1984 and has been with Morgan Stanley Smith Barney and its predecessor firms since that time. Gary earned the designation CFO Advisor, having completed the Citi Family Office course (now Director, Family Wealth). He helps high-net-worth individuals and families, as well as endowments, foundations and closely-held businesses, through all phases of wealth management, including wealth accumulation, wealth preservation and wealth transfer.
Having lived in the town of Greenwich, Connecticut, for most of his life, Gary now resides there with his wife and their two sons, who all enjoy boating, tennis, skiing and bicycling. He is also competitive in shotgun sports. He is active in the community and sits on the asset management committee of his church.
Senior Vice President
Senior Investment Management Consultant
Senior Portfolio Manager
The Callaway Boone Group
Morgan Stanley Smith Barney
3280 Peachtree Road, NE, Suite 1900
Atlanta, Georgia 30305
Toll Free: (800) 421-2741 mark.c.callaway@mssb.com
Mark started his investment career 28 years ago. He was founder and President of Lamon-Callaway Financial Services, Inc., until 1989 , when he was asked to open a branch office for The Robinson-Humphrey Company in LaGrange, Georgia. The Robinson-Humphrey Company merged with Smith Barney in 1996.
He heads up the processes helping Callaway Boone Group's (CBG) clients establish an Investment Policy Statement, set investment objectives, develop asset allocation strategies, make stock and fund selections and establish ongoing monitoring and review standards. He focuses on risk analysis, diversification and customized investment strategies. An area of focus in his investment management is Sustainable and Responsible Investments (SRI). Mark was one of only a few advisors at Smith Barney who was recognized as a "Green" financial advisory professional. He holds the following securities licenses, 4, 7, 8, 24, 31, 53 and 65. He is a member of IMCA, APIC, SIF and a newly elected Board of Director for PMI.
Mark has four children, (Fuller, Mary Hollis, Hayes and Gabriella) and resides with his wife, Ansley, in Atlanta. He has served in a number of capacities in Georgia including the University of Georgia board of trustees, Georgia Institute of Technology, Berry College and LaGrange College. He has undergraduate degree in Political Science and a M.B.A. He attended LaGrange College, New York Universities Tisch School of the Arts and the London Academy of Music and Dramatic Arts.
" I think there is an opportunity for Morgan Stanley Smith Barney (MSSB) to take the lead, as the premier brokerage firm and embrace Sustainable and Responsible Investing (SRI) and its evolution into the Environmental, Social and Governance (ESG) arena. MSSB and PMI are in leadership positions to help formulate the questions and address the answers on values based investing for all portfolio managers inside and outside MSSB".
Susan is a Senior Vice President, Senior Portfolio Manager, and Wealth Advisor. She joined Morgan Stanley in 1991 after having worked at Merrill Lynch and Prudential Securities in Tulsa. She was the National Sales Manager of Mutual Funds and in Institutional Sales, both for major firms on Wall Street in New York City prior to moving to Tulsa. She earned her CFP designation in 1985. Susan has been chosen as one of the Barron's Top Ten Financial Advisors in Oklahoma for the past two years.
Susan's team focuses on a select group of clients who seek an extraordinary level of knowledge and experience and desire a high level of service and attention. They work closely with the clients' tax and legal advisors to coordinate complex objectives and goals and help manage all aspects of their finances and investments. Portfolio management is an integral part of the practice.
For part of this past year, Susan was honored to serve on the PMI Forum meeting agenda committee. She is very active in her community, having served on numerous boards. She is a founding member and Board member of The Executive Women's Forum, and also currently is on the board of her neighborhood association. She also chairs the "Secret Giving Fund", an anonymous private fund that provides money to those in need.
Currently, Stephen Cohen serves as a Senior Vice President, Financial Advisor in the Mt. Laurel, New Jersey office. He has been with Smith Barney and predecessor firms since entering the industry in 1986. His and his wife, Leslie currently reside in Cherry Hill, and we have 2 daughters, and one granddaughter. Thier eldest daughter, Jamie and her husband Michael recently welcomed their daughter Haylee Brooke, and they reside in Coral Springs, FL. Their youngest daughter, Andrea is a graduate of RobertWoodJohnsonMedicalSchool and resides in Piscataway, NJ.
After attaining his Bachelors Degree from RutgersUniversity, Stephen worked as an audit supervisor at Alexander Grant & Co. and was the owner/operator of Sunshine Carpet Company. In addition, he is a member of The South Jersey and The Bethel Men’s Clubs. Stephen also serves as the Treasurer for The Purnell School since 1997. Stephen’s professional center of attention is overall wealth management for his clients with a team approach. He is the sole Financial Advisor on the team, with a Client Relationship Manager and Client Service Associate. As a team, they are proactive with their clientele in establishing genuine relationships, defining goals and objectives, developing financial plans, communicating, monitoring, servicing, and educating our clients within all aspects of portfolio management. The team is committed to constant education and professional development. They provide a plethora of services to our clients; some areas are more concentrated than others.
Stephen has been a member of the Portfolio Management Institute since 2006. He is a member of the inaugural class of Certified Portfolio Management (ColumbiaUniversity) in 2009. He has served on the PMI Board of Directors since 2008.
Vijay Dalal
Senior Vice President - Wealth Management
Senior Portfolio Management Director
Phone: 201-967-6203
Fax: 201-262-3761 vijay.v.dalal@smithbarney.com
Vijay began his Smith Barney career as a Financial Advisor in 1977 and currently holds the position of Senior Vice President – Wealth Management. He has been managing client portfolios since 1995 and earned the title of Senior Portfolio Management Director in 2006. As member of the Dalal Team, his primary focus is on Portfolio Management.
Vijay graduated from the
University of
Bombay in 1958 with degrees in Accounting and Economics, and completed post-graduate studies in Cost and Management Accounting in
England. Prior to joining Smith Barney, Vijay had 17 years of experience in Accounting and Finance. He was an Assistant Controller with
Western Union, where he worked until 1977. Prior to that, Vijay was Plant Controller at Pfizer (
India), Ltd. and also worked as a Cost and Management Consultant. He is a founding Trustee of the Share and Care Foundation (established in 1982), of which he has held numerous positions on the Executive Board. Vijay is also an active member of Bergen Highlands/Ramsey Rotary club. Vijay attributes his success to hard work, disciplined approach and his ability to earn the trust of his clients.
Senior Vice President - Wealth Management
Senior Portfolio Management Director
The Pelican Bay Group
Morgan Stanley Smith Barney LLC
1250 Pittsford Victor Road
Building 200, Suite 350
Pittsford, NY 14534
Phone: 585-264-5812 Fax: 585-383-9288 richard.j.dimarzo@mssb.com
Richard has been with Morgan Stanley Smith Barney and its predecessors firms for 24 years. He has two sons, Josh and Brian, whom both work in the financial service industry. He is a graduate of Colgate University in Hamilton, New York where he earned his BA degree in Ethics. At the Pelican Bay Group at Morgan Stanley Smith Barney in Pittsford, New York, Richard DiMarzo’s practice focuses on High-Net-Worth Individuals, High-Net-Worth Multi-Generational Families, and Endowments and Foundations both nationally and internationally. In addition to overseeing a private client practice which exceeds 700 households with assets totaling more than $330 million, Richard’s responsibilities include management of fixed income investments, asset management for all property and casualty insurance companies, as well as, marketing.
As a recently elected board member Richard believes in the value added benefits of portfolio management. He considers portfolio management not only as a consummate investment tool which provides added value to the Financial Advisor's practice therefore branding the Advisor as distinctly different than their competitors but further envisions Portfolio Management as that business management tool which can provide leverage by which the Advisor can broaden their business model to withstand cyclical downturns in the business cycle. PMI Institute therefore becomes the vehicle of communication providing Portfolio Managers with a forum to entertain new ideas, as well as, confirm previous methodologies.
Richard is an associate member of PAMIC (Pennsylvania Association of Mutual Insurance Companies) where he has been a member for nine years and has served on both the Finance Committee, as well as, the Education Committee. He actively writes for the PAMIC Pulse, a monthly publication for Pennsylvania Mutual Insurance companies. He is an active donor to the James P Wilmot Cancer Center serving as a member of the Corporate Underwriting Committee for the annual James P. Wilmot Discovery Ball.
Howard Felix
First Vice President - Wealth Management
Senior Portfolio Manager
I have been in the financial services industry since 1983 when I joined Merrill Lynch. I joined Shearson in January of 1991.
I work with a team of eight FA's and pm now represents 31% of our overall business, totaling $140 million in assets.
My first PMI trip was in Chicago of 2006. It changed the structure of my business and renewed my passion. I managed several different portfolios including large-mid growth, option writing, ETF equity and ETF bond portfolios.
Senior Vice President - Wealth Management
Senior Portfolio Management Director, CPM 2009
Financial Planning Specialist
Resident Manager
353 Broadway
Saratoga Springs, NY 12866
Phone: 518-581-2000
Email: larry.king@smithbarney.com
Larry King is a Senior Portfolio Management Director with Smith Barney in the Saratoga Springs, NY office where he also serves as the Assistant Branch Manager. He has been with the firm since 2000. Larry is participating in the June, 2009 Certified Portfolio Management Class. He is a graduate of Cornell University. He serves on the board of directors of the Saratoga Performing Arts Center, the summer home of the NYC Ballet and the Philadelphia Orchestra. Larry was raised on a dairy farm in upstate NY, and he resides with his wife, Sally, in Saratoga Springs.
Ronnie Lapinsky Sax
Timothy Lynch, CFA
Clearwater Group
First Vice President - Wealth Management
Portfolio Management Director
Attended the US Military Academy at West Point BAs in Finance, Computer Systems, and Psychology
Masters from Columbia University.
Worked internationally for Towers Perrin, advising multi-billion dollar pension funds, living in New York, Toronto, and Melbourne, Australia during my time with them
CFA charter holder
Worked with Mike Ross and 3 other CFAs and PMI members to develop the curriculum and program for the "Certified Portfolio Manager" designation. The CPM will graduate our first class this summer from Columbia University.
Named the #2 Bank Broker in the country by Bank Investment Consultant magazine (I am in the Smith Barney Bank Investment Center program, due to my tiny market area)
Paul McCauley, CPM
Paul D. McCauley
Senior Vice President - Wealth Management
Senior Portfolio Manager
First Vice President -Investments
2 Town Place, Suite 100
Bryn Mawr, PA 19010
Phone: 610-5632-2907
Email: patrick.k.mcfadden@smithbarney.com
Patrick K. McFadden's investment philosophy focuses on equities with an intermediate and long-term investment horizon. During his 20 year tenure with Legg Mason Wood Walker, Inc. Mr. McFadden has followed a diversified investment approach, looking for value in those sectors that he believes stand to benefit from domestic and international growth trends. Investment selection is based on fundamental, qualitative and quantitative research and analysis of companies.
Pat McFadden began working at Legg Mason in 1986. Prior to joining Legg Mason, he provided financial and retirement planning advice with American Express. Mr. McFadden is a member of the Philadelphia Estate Planning Council, the Tri-State FPA, is a National Football League Registered Player Financial Advisor, and a graduate of Pennsylvania State University. In his free time, he contributes his expertise pro-bono to local 501c3 and other non- profit organizations. He is married, an avid skier and enjoys sailboat racing.
Vice President
Financial Advisor / Certified Financial Planner
1200 Mount Kemble Road
PO Box 1903
Morristown, NJ 07962 Peter.Roselle@MSSB.com
Direct: (973) 425-2339
Peter Roselle, CFP®, joined Morgan Stanley’s Morristown, NJ office in 2007 after seven years with A.G. Edwards. He works with corporate executives, business owners and boards of non-profits in developing portfolio and financial planning strategies. He graduated from SetonHallUniversity with a BA in Economics (1980) and again with an MBA in Finance (1985). He serves as a board member for the Somerset Hills YMCA and the Bernardsville Chamber of Commerce and serves as the Chairman of the Board of Trustees for his local church.
As a legacy Morgan Stanley FA, he was introduced to PMI through the Custom Portfolio program. Long an advocate of the fee-based, discretionary portfolio management model, Peter sees PMI as the organization that can give him a much-needed chance to interact with peers, increase his knowledge and help clients achieve their goals of greater risk-adjusted portfolio returns. The CPM program is of particular interest and he looks forward to attending the training at Columbia in May.
Peter and his wife Patricia, married since 1985, live in Basking Ridge, NJ, and are the proud parents of two adult sons. Christopher, 24, graduated from IthacaCollege with a BA in Biochemistry and now works as a scientist for Merck. David, 21, will graduate in May from the University of Maryland with a degree in architecture and then continue graduate studies at the University of London in the fall.
Andre Weiser, CPM
First Vice President - Wealth Management
Senior Portfolio Manager
Andre Weiser, CPM (Columbia University) has been a member of PMI since the inception of the organization. He was co-chair of the forum committee for the 2010 forum.
Andre is a member of the Weiser Group in Stamford Ct and has been with Smith Barney since 1984. The Weiser Group provides wealth management across multi-generational families. A 1972 graduate of SyracuseUniversity, Andre earned an MBA from IonaCollege in 1980. He was a member of the first Certified Portfolio Manager class at ColumbiaUniversity.
Andre and Amy Weiser and their two school aged daughters enjoy their home in New Rochelle, New York. Andre is a black and white film photographer and enjoys restoring old wooden boats.
Cary Wieting, CPM
Cary Wieting, CPM
Senior Vice President
Senior Portfolio Manager
Morgan Stanley Smith Barney
4000TownCenter Suite 1800 Southfield, Mi 48075
Email: cary.n.wieting@mssb.com
Website address: www.fa.smithbarney.com/cary_wieting
Phone: 248-358-7059 / 800-926-9551
Cary graduated from the University of Michigan in 1978 with a B.S. degree in Psychology. He began his career as a Financial Advisor with Morgan Stanley Smith Barney and it's predecessor firms in 1983. Presently, Cary oversees in excess of $185 million of client assets. These clients include high net worth families and small institutions. He provides comprehensive wealth management services with an emphasis on discretionary portfolio management. Cary became a portfolio manager in 1997 and now holds the Senior Portfolio Manager designation. Cary joined the Board of Directors of Portfolio Management Institute (PMI) in 2008. He was co-chair of the 2009 PMI Annual Forum. He is presently chairperson of the PMI membership committee.
Cary achieved the Certified Portfolio Manager designation in 2009 as part of the first graduating class in conjunction with ColumbiaUniversity.
Cary has been married for 26 years and has two children. He enjoys spending time with his family, playing golf and skiing. He also has enjoyed volunteering in his community as a soccer referee and with local amateur and professional golf tournaments.
