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The Lee/Wardrop Group
UBS Financial Services Inc.
257 E. Main Street
Barrington, IL 60010
888-400-0488
www.ubs.com/team/lwg
2. Mission Statement
The mission of the Lee/Wardrop Group is to assist
our clients in pursuing their dreams through strategic
planning and sound financial advice. To execute this
mission, part of our focus is to help clients make informed,
confident decisions, prioritize their goals and create a
realistic vision of their future.
It is from this commitment that we have built a successful advisory
practice based on trusted client relationships.
Paul E. Lee, CRPC®, AIF® Scott C. Wardrop
Director Vice President–Investments
First Vice President–Investments Portfolio Manager
Portfolio Manager Portfolio Management Program
Portfolio Management Program Advisory & Brokerage Services
Advisory & Brokerage Services 847-277-2116
847-277-2133 scott.wardrop@ubs.com
paul.e.lee@ubs.com
Ryan T. Lindgren Jacob R. Niggemann
Financial Advisor Financial Advisor
847-277-2131 847-277-2103
ryan.lindgren@ubs.com jacob.niggemann@ubs.com
Trena L. Coffey
Senior Client Service Associate
847-277-2122
trena.coffey@ubs.com
Chartered Retirement Planning CounselorSM and CRPC® are registered service marks of the College for
Financial Planning®.
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3. The Lee/Wardrop Group team members, from left, Scott Wardrop, Paul Lee, Jacob Niggemann, Trena Coffey
and Ryan Lindgren
Our Focus and Experience
Paul E. Lee, CRPC®, AIF® Scott C. Wardrop
Prior to joining UBS, I spent 16 years Prior to joining UBS, I spent 16 years at
at Merrill Lynch as a Senior Resident Merrill Lynch as a Vice President. I focus
Director and First Vice President. As on helping clients plan for their financial
a former CPA, I draw upon my prior independence by using probability-
experience by advising our clients based financial planning tools. I also
in the areas of estate planning, specialize in utilizing institutional money
concentrated stock management managers and asset allocation
and alternative investments. I am modeling.
a Chartered Retirement Planning
Counselor® (CRPC®) and an Accredited I graduated from Denison University
Investment Fiduciary (AIF®). where I received my bachelor of arts
degree in economics. My wife, Cherie,
I received my bachelor in science degree and I live with our son in Wilmette,
in accounting from Indiana University. Illinois.
My wife, Kimberly, and I reside in
Barrington, Illinois, with our three
children.
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4. Ryan T. Lindgren Jacob R. Niggemann
I joined The Lee/Wardrop Group in Prior to joining UBS, I spent the last
2001. Over the past eight years, I have six years with Merrill Lynch as the
focused on helping clients in the areas Resident Director’s Assistant and
of liability management, corporate have been an integral part of The
retirement plans, retirement and college Lee/Wardrop Group’s success. I am
education planning. responsible for client acquisition and
investment implementation.
I attended the University of Illinois at
Chicago and received my bachelor of I graduated from Northern Illinois
science degree in finance. I currently University and received my bachelor
reside in Chicago, Illinois. of science degree in finance. I currently
reside in Wauconda, Illinois.
Trena L. Coffey
Prior to joining The Lee/Wardrop Group,
I spent the last six years working for Citi
Smith Barney as a branch manager’s
assistant in New York, New York. I am
responsible for all aspects of client
service and administration.
I attended the University of Iowa. My
husband, Michael, and I reside in
Chicago, Illinois.
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6. Your Future Begins with a Conversation
Preserving your wealth Growing your wealth
Over time, you have planned and We understand the importance of
invested prudently to build your wealth. establishing a firm financial foundation.
We understand how important it is to Whether you’re planning to purchase
preserve what you’ve worked so hard to a home or accumulating assets to start
achieve. That’s why we will work with a business, we’ll work with you to
you to review your investment plan on design a personalized portfolio strategy
an ongoing basis, making adjustments that reflects your goals, time horizon
that take into account factors such as and comfort level with risk. We are
taxes*, inflation and unforeseen events dedicated to helping you pursue your
that could undo a lifetime of work. financial goals while providing you
with the highest level of responsive
and personalized service.
The UBS Client Experience
In delivering the UBS Client Experience, our
Financial Advisors take the time to understand
your needs and goals and proactively provide
appropriate solutions. We keep you informed
on a periodic basis, and can monitor and
update strategies, as appropriate, to respond to
ever-changing markets and your evolving needs.
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7. Maintaining your lifestyle Generating income through
Once you have attained a comfortable retirement
level of financial security, it may be What does retirement mean to you?
prudent to review and adjust your Your retirement vision is the basis of
investment strategy. For example, your retirement strategy, and we will
funding higher education for your spend time exploring the life you
children or purchasing a second home imagine. Then we can assess whether
may require access to significant capital. your retirement assets are sufficient
However, you may be reluctant to fund to generate income for day-to-day
these objectives directly from your retirement expenses, fulfill the
investments. With significant experience retirement dreams you hope to make
in managing cash flow, we can help a reality, keep pace with inflation and
ensure you have access to funds while meet healthcare costs. Together, we can
still maximizing your investment return. develop a personalized strategy to help
fund the retirement you envision.
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8. Focusing on Your Individuality
From years of listening to our clients, we have developed
our practice with a focus on your specific needs.
Estate planning strategies planning and philanthropic planning
You have spent your life accumulating strategy. You have worked hard to build
assets, and now you want to help your wealth over time, and we want to
secure the future of your loved ones. help you address the needs of those
Together with your professional you care about.
advisors, we focus on identifying
personalized estate planning strategies Wealth management for
that can help minimize the effect of corporate executives
estate taxes* while ensuring that your As a busy corporate executive,
estate will be distributed according to you may find you don’t have the
your wishes. time to focus on the full range of
investment options available to you.
In addition, with the help of our We can help you understand the
nationwide Attorney Network complexities of your personal or
program,** we can introduce you business compensation. Given our
to an independent, experienced trust experience, along with that of a UBS
and/or estate attorney. There are more team of specialists and the full breadth
than 350 attorneys in this established of our firm, we can help you manage
network with no fee for an initial the sale of restricted stock, lump-sum
consultation. With the guidance of distribution strategies, 10b5-1 trading
an experienced attorney, we can help plans and concentrated holdings.
you establish a comprehensive estate
* Neither UBS Financial Services Inc. nor any of its employees provide legal or tax advice.
You must consult with your legal or tax advisor regarding your personal circumstances.
** Attorneys in the Attorney Network program are independent of, and unaffiliated with,
UBS Financial Services Inc.
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9. Transferring wealth to others Personalized financial strategies for
There are people in your life who you women
care about, and you may have one or Since women often find themselves
more favorite causes you want to solely responsible for their financial
support financially. How do you balance well-being at some point in their lives,
caring for yourself, your loved ones and we will work with you to create a
making a difference in your community personalized investment strategy that
or the world at large? And how can will help preserve your assets now,
you position your assets to continue as well as help you create a wealth
providing financial support after you’re management plan for the future. We
gone? understand how important it is to you
to live comfortably, independently and
Together with our team of dedicated without the worry that you will outlive
specialists in strategic estate planning, your assets.
wealth transfer and gifting techniques,
we can help you identify personalized Wealth planning for domestic
financial strategies to support the partnerships
people and causes you care about You want and deserve a financially
while continuing to provide for your secure future, but navigating your
own needs now and in the future. way through a wealth management
Working with your attorney and other plan can be complicated for unwed
professionals, we can determine how domestic partners. As changes
these strategies can also reduce the occur in the law and in corporate
impact of taxes on your estate.* governance, together with your
professional advisors, we can help
you understand how those changes
can impact you and your partner from
a strategic perspective—from buying a
home and planning for retirement, to
creating and implementing estate
planning strategies.
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10. Structuring an investment program Investment strategies tailored to
for your healthcare practice your small business
With many years of experience helping As a small business owner, it’s
healthcare professionals, we can important that you work with a
design a personalized investment firm that understands the financial
program that will address any cash requirements, risks and rewards of a
flow concerns while providing you small business. We are familiar with
access to information about your strategies for meeting start-up costs
practice’s finances. We’ll also present and overhead charges, as well as
retirement and insurance alternatives funding capital expenditures. We
for you and your employees and can can help you grow your business by
help you plan for the succession or appropriately balancing your investment
transfer of your practice. and liquidity needs and providing
you with access to current account
Managing the finances of your law information at all times.
practice
As an attorney, you’re often subjected
to an unpredictable income stream.
Case loads vary, appeals can delay
the payment of your fees and any
fees may be contingent on amounts
awarded to your client. These and other
factors can present challenges for your
practice. Having worked with many
attorneys, we know how to design
personalized investment strategies to
help you pursue your long-term goals
while addressing liquidity and financing
concerns as they arise.
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11. UBS: Our Global Strength.
Your Individual Vision.
As a UBS client, you benefit from the experience of one
of the world’s leading wealth management firms.
We have been serving affluent individuals, corporations, institutions and
governments for over 150 years. Through our teams of professionals around
the globe and their diverse expertise across a range of disciplines, we are committed
to helping each client realize their own vision for financial success.
Our relationship with you
Our work ethic is simple and powerful. It is based on the value of collaboration.
We work side by side with our clients, taking the time to understand their individual
needs and goals and the dreams they have for themselves, their families and their
future. This deep understanding, combined with the powerful global resources we
are able to access on your behalf, lay the foundation for the relationship we call
”You & Us.“
UBS Wealth Management Research
UBS Wealth Management Research is dedicated to providing the information and
insights you need to make informed financial decisions. Backed by the international
resources of one of the world’s leading wealth management firms, we have
developed a global network of analysts who conduct research on markets and
trends relevant to individual investors. And at UBS, you have direct access to these
experts through our team†.
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