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Financial Services Infrastructure Solutions

Manhattan, NY, 10128
October 27, 2023

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James M. Schories

**** **** ***. #*** **, NY ****8


Executive Summary:

15+ years financial services experience, wealth management operations. Extensive knowledge of investment products, asset allocation and portfolio construction. Strong analytical, communication, and relationship building skills. Formerly with Barron’s/Forbes Top Wealth Advisory team & Morgan Stanley Corporate & Institutional Services. Past success in executing key growth initiatives and excelling in a team environment.

Professional Experience:

Morgan Stanley – Institutional Infrastructure Solutions Client Relationship Specialist; New York, NY (Jan. 2022 – Aug. 2023)

• Operations Specialist for Graystone & Family Office Institutional clients

• Servicing Ultra High Net Worth, Foundations & Endowments, Trusts

• Government Entities, Defined Contribution / Defined Benefit retirement plans

• Family Office Services, OCIO mandates, help to create investment policy statements

• Customer relationship management

Proxy Financial

Wealth Management - Business Operations Specialist New York, NY (Mar. 2021 – Dec. 2021)

• Investment Analyst, fund research utilizing Morningstar Direct and Zephyr

• Client portfolio reviews, investment product due diligence

• Serviced all team client inquires and requests

UBS Financial Services, Inc.

Senior Wealth Investment Strategist New York, NY (Sep. 2006 - Aug. 2018)

• Member of top Barron’s & Forbes/Shook team. Team AUM grew from $400MM to $1.4B

• Customized client portfolios based on cash flow needs, tax efficiency, factor weightings, and risk/reward tolerances

• Clients include institutions, corps., trusts, estates, ultra-high net worth investors

• Quantitative and qualitative monitoring of investment accounts & performance

• Monthly benchmark reviews, on all asset classes, for all investment products

• Effectively identified new business & referral opportunities through client service Licenses & Education:

FINRA Licenses: Series 7 & Series 66

University at Albany (SUNY): B.S. - Business Administration & Psychology (2004) Volunteer Activities:

Summer Camp Basketball Coach: Monsignor Farrell HS - Staten Island, NY 2018-Present Active Fundraiser – American Foundation for Suicide Prevention – New York, NY 2021-Present

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