Community Corner

United States

James W. Taylor and his team The Taylor Group Join UBS, Bringing Worldwide Experience

21 April 2009
Source: UBS
Contact: Kris Kagel, Corporate Communications, 212-882-5691,,

Weehawken, NJ - James W. Taylor, a 22-year financial services veteran, has joined UBS Financial Services Inc. (UBS) as a Senior Vice President. He will support clients of UBS Corporate Employee Financial Services (CEFS) and provide wealth management and education services to employees participating in their companies' stock plans.

Taylor’s appointment continues the strategic expansion of UBS's network of CEFS Financial Advisors. The Taylor Group's seven team members, including five Financial Advisors, join him in the move. "The UBS open architecture approach to wealth planning gives my team enormous flexibility in helping private clients implement investment strategies," Taylor said. "And with CEFS, corporate clients and their plan participants gain a world-class stock plan platform.”

"Jim and his team provide superior equity compensation and wealth management services for companies and their executives and bring strong international capabilities," said Douglas Woodham, Managing Director of CEFS. “We enthusiastically welcome The Taylor Group to UBS."

A Barron’s Top Financial Advisor
In 2009, Taylor was listed among Barron's 'Top Financial Advisors,' a state-by-state ranking of the nation’s 1,000 best Financial Advisors. Rankings are based on an independent survey of industry best practices, assets under management, client satisfaction and service platform, along with interviews with senior management, peers and clients.

A high level of personalized service
The Taylor Group focuses on providing personalized wealth management services for affluent clients, particularly corporate executives from public companies with equity compensation plans. "Our clients deserve a high level of service and expect their advisors to have a comprehensive knowledge of their company's plans," Taylor noted. Since equity compensation can represent a large percentage of net worth for these clients, a discussion about the plan often develops to include associated financial planning issues.

Wealth management experience for U.S. and international companies
Taylor and his team have developed a deep knowledge for how stock plans can affect wealth management when a U.S. resident works for a non-U.S. corporation and receives equity compensation. "The issues are much more complex when dealing with foreign currency exposure and stock plan securities that trade on multiple exchanges," he says.

"An executive could have six different types of equity award securities trading on three exchanges – and those awards could be in dollars, euros, pound sterling or other currencies," Taylor says, giving an example of the cross-border complexity involved. "We have experience addressing these types of situations, taking related wealth planning issues into account as we work towards reaching the goals of our private clients."

Service means delivering
Great service starts with expertise that builds trust and confidence with clients, according to Taylor. "We strive to provide the best possible service to our corporate clients and their participants," he noted. "We realize that we are an extension of the company's benefit programs and our ability to deliver is a direct reflection on them."

Taylor takes a hands-on approach that focuses on resolving any issues that arise as soon as possible. "Lingering problems ruin relationships, and resolving issues quickly is how you build trust," he says. "I will run through walls to deliver the best service for my clients."

Educating participants to deliver a corporate benefit
Wealth planning services have become increasingly important in the equity compensation industry, Taylor notes. As a result, corporate service from The Taylor Group often includes an education program for executives and employees. His team can deliver introductory training for broad-based equity compensation plans or more customized education sessions tailored to a small number of executives.

"It’s important that company executives and other plan participants are fully educated in how their stock plan holdings affect their overall wealth planning," he says. "Companies have a vested interest in making sure their employees understand the impact of their stock plan decisions."

Taylor is a member of the National Association of Stock Plan Professionals (NASPP) as well as the Global Equity Organization (GEO). He has served as an active member of the Board of Trustees of his alma mater, Babson College, since 2001.

The Taylor Group is located in UBS’s Boston, MA branch at Post Office Square.

To contact CEFS, call 866-706-2727, toll-free, from 9:00 a.m.-5:00 p.m. ET, or e-mail

About CEFS
The Corporate Employee Financial Services (CEFS) department of UBS Wealth Management US delivers first-class equity compensation plan services and support for stock options, restricted grant awards, performance grant awards, stock appreciation rights and employee stock purchase plans.

CEFS has more than a decade of experience delivering service to Fortune 1000 companies and their participants across the globe. With more than 311 employees and nearly 250 CEFS network Financial Advisors in 60 cities, CEFS services more than 100 corporate clients and 800,000 plan participants.

UBS is one of the world’s leading financial firms, serving a discerning international client base. UBS is a leading global wealth manager, a leading global investment banking and securities firm, and one of the largest global asset managers. In Switzerland, UBS is the market leader in retail and commercial banking.

UBS is present in all major financial centers worldwide. It has offices in over 50 countries, with about 37% of its employees working in the Americas, 34% in Switzerland, 16% in the rest of Europe and 13% in Asia Pacific. UBS employs more than 75,000 people around the world. Its shares are listed on the SIX Swiss Exchange, the New York Stock Exchange (NYSE) and the Tokyo Stock Exchange (TSE).

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