Robert Reidy

Robert Reidy is a Bates Testifying Expert who has testified on alternatives, portfolio management, suitability, supervision, oil and gas investments, structured notes, options, security back lending, senior investors, annuities, sales practices, damages including taxes, Puerto Rico debt, family law involving investments, international equities and debt, industry standards and product knowledge.

Robert retired May 2017 after 23 years at UBS as an Executive Director. He has worked in the financial services industry as a Financial Advisor, Sales Manager, Branch Manager, Complex Manager and State Manager.

Robert has sold and supervised equities, debt, security backed lending, managed portfolios, alternative investments, option strategies, structured notes, annuities, and insurance products. He has supervised the sales and he has done the ongoing compliance and client activity contact calls of all of these products.

Robert was certified by UBS as a portfolio manager in 1997. UBS is the world’s largest wealth manager and the world’s largest private bank. It manages over $2 trillion in client portfolios.

Robert was on the advisory committee for UBS for the Portfolio Management Group 2005-2009.

Robert was on the UBS Financial Planning Advisory Council committee from 2007 to 2017. He gave input and taught advisors and planners how to meet with clients, create and implement financial plans.

Robert retired from UBS and joined Bates Group LLC as an expert witness in May 2017. He is now a Senior Financial Litigation Consultant

Robert is a consultant and subject matter expert in these Practice Areas and Services:

Securities and Financial Services Litigation & Consulting
- Retail Securities
- Institutional Securities
Regulatory & Internal Investigations
- U.S. & Global Regulatory Investigations
Compliance Solutions
- Compliance Testimony

Credentials

EXPERIENCE

Bates Group, Testifying Expert, Austin, TX, 2017 – Present

Areas of expertise: alternatives, portfolio management, compliance and supervision, oil and gas investments, structured notes, options, security back lending, senior investors, annuities, sales practices, damages including taxes, Puerto Rico debt, family law involving investments, international equities and debt.

UBS Financial Services (formerly Paine Webber), Financial Advisor, Sales Manager, Branch Manager, Complex Manager, State Manager, 1994 – 2017
Oppenheimer and Co., Financial Advisor, Limited Partner, 1987-1994
Bear Stearns, Financial Advisor, 1982-1987
EF Hutton, Financial Advisor, 1980- 1982
Merrill Lynch, Financial Advisor, 1977-1980

EDUCATION

Major: Finance with honors, Minor: Tax Accounting, Boston College, Chestnut Hill, MA

PROFESSIONAL QUALIFICATIONS

2007-2017 Member of the UBS Financial Planning Advisory Council
2005-2009 Member of the PMP Advisory Council
1997 Portfolio Management Program Certified
1996 PaineWebber Directors Council
1995 PaineWebber Equity Institute

LICENSES

LICENSING (Formerly Held)
Series 3 – National Commodity Futures Examination
Series 5 – Interest Rate Options Examination
Series 7 – General Securities Representative Examination
Series 8 – General Securities Sales Supervisor Examination (Options Module & General Module)
Series 24 – General Securities Principal Examination
Series 63 – Uniform Securities Agent State Law Examination
Series 65 – Uniform Investment Adviser Law Examination
Securities Industry Essentials Examination
Licensed in insurance and variable annuities in each state in which resided.