Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

Dorian Grady

San Diego

Summary

Seasoned financial advisor with 15+ years of experience providing strategic wealth management and investment solutions to high net worth individuals, families and business owners. Proven track record in portfolio construction and risk management with a strong ability to build trusted client relationships and drive business growth. Experienced in regulatory compliance, multi-asset strategies and leading advisory operations.

Overview

17
17
years of professional experience
1
1
Certification

Work History

Financial Advisor

UBS Financial Services, Inc.
10.2024 - Current
  • Serve as the dedicated financial advisor for clients whose accounts migrated to the UBS Wealth Advice Center ensuring seamless onboarding, relationship retention, and delivery of tailored advice.
  • Partner with UBS CIO research and product partners to deliver market insights, investment recommendations and portfolio adjustments in response to market and economic shifts.

Vice President, Client Relations

Global Wealth Partners
01.2019 - 10.2024
  • Led the operations team in servicing 100+ accredited investors and institutional clients, strengthening service delivery, driving revenue growth, and improving client retention.
  • Designed and executed a highly successful retirement plans division, generating over $1M in new assets under management (AUM) and expanding the firm's service offering to business owners and plan participants.

Senior Financial Consultant

TD Ameritrade
01.2016 - 12.2018
  • Managed a $300M assets under management (AUM) book of high-net-worth client relationships, delivering comprehensive wealth management and investment advisory services.
  • Optimized client portfolios by leveraging TD's open architecture platform and fee based guidance solutions to create customized, risk adjusted investment strategies.

Assistant Vice President, Financial Solutions Advisor

Bank Of America Merrill Lynch
01.2014 - 12.2016
  • Served as the appointed financial advisor for two premier branches in downtown Chicago, delivering comprehensive financial planning and investment management services to a diverse client base.
  • Built and managed key relationships across high net worth and mass affluent households, leveraging Bank of America's banking and Merrill Lynch's investment platforms to provide tailored solutions.

Consultant

Asset Mark
01.2012 - 12.2014
  • Implemented operational strategies for Registered Investment Advisors (RIAs) across Florida and the Mid-Atlantic, driving profitability gains and cost efficiencies for 50+ advisory practices.
  • Delivered training and best practices on operational efficiency, practice management, and client experience enhancement resulting in measurable improvements in advisor productivity and retention.

Financial Advisor

Edward Jones
01.2009 - 12.2011
  • Took over a small branch and successfully scaled operations by identifying opportunities in local markets and delivering tailored wealth management advice that improved client retention and branch profitability.
  • Established a client base of individuals and small business owners through community involvement, financial education events, and proactive portfolio reviews.

Education

Master Of Business Administration -

De Paul University
Chicago, IL
12.2017

B.S - Business Administration History

University Of Missouri
Columbia, MO
12.2009

Skills

  • Retirement Income Strategy, Qualified Retirement Plan Management, Wealth Transfer & Legacy Strategy, Portfolio Analysis & Optimization, Alternative Investment Solutions, Customer Relationship Management, Onboarding & Training Development, Revenue Growth & Strategic Marketing

Certification

  • Series 66 FINRA
  • 2009-11 – Present
  • Series 7 FINRA
  • 2009-10 - Present

Timeline

Financial Advisor

UBS Financial Services, Inc.
10.2024 - Current

Vice President, Client Relations

Global Wealth Partners
01.2019 - 10.2024

Senior Financial Consultant

TD Ameritrade
01.2016 - 12.2018

Assistant Vice President, Financial Solutions Advisor

Bank Of America Merrill Lynch
01.2014 - 12.2016

Consultant

Asset Mark
01.2012 - 12.2014

Financial Advisor

Edward Jones
01.2009 - 12.2011

B.S - Business Administration History

University Of Missouri

Master Of Business Administration -

De Paul University
Dorian Grady