UBS today announced that Private Wealth Advisors James Herring and John Gaffney will be joining the firm in New York City. At the conclusion of their respective notice periods, James and John will join the UBS Manhattan Market and will be based in the firm’s 299 Park Ave Private Wealth Management office, managed by Chris Amo and Bob Sorrentino.

“On behalf of UBS, we’re very pleased to welcome James and John to the firm,” said Chris Amo, New York PWM Market Director at UBS Private Wealth Management. “The team’s vast industry experience and dedication to their clients will be a great addition to our business, and we look forward to having them help us continue to expand our client offering in the New York market.”

“With the team’s experience helping clients navigate complex financial matters and commitment to delivering personalized solutions, coupled with UBS’s unique suite of capabilities focused on ultra-high net worth clients, I have no doubt that the team will continue to successfully deliver for clients in the years to come,” said Bob Sorrentino, New York PWM Market Director at UBS Private Wealth Management.

James Herring joins UBS Private Wealth Management from Goldman Sachs, where he was a Managing Director with over 35 years of experience working with high-net-worth executives, non-profits and family offices. During his career, James has served as a Regional Manager for the Southeast from 1996-2000 and was named Co-Head of the Family Investment Office (2006-2010), a multifamily office business that he developed and launched in New York City. Prior to joining Goldman Sachs, James served as an officer in the United States Army Reserve for nine years. James earned a BA and MBA from Vanderbilt University. He is a former president of the Owen Graduate School Alumni Board, a member of the Economic Club of New York and is active as a board member and fundraiser for his church and several nonprofits.

John Gaffney joins UBS from Goldman Sachs where he spent five years focusing on holistic wealth management solutions for family offices and private wealth clients. John earned his BA from Vanderbilt University and worked in Management Consulting and Strategy before returning to Vanderbilt University's Owen School of Management for his MBA. He is a leader and fundraiser for The Leukemia & Lymphoma Society and active member of the Owen Graduate School alumni association.

Notes to Editors

About UBS UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. It also provides diversified asset management solutions and focused investment banking capabilities. With the acquisition of Credit Suisse, UBS manages 5.5 trillion dollars of invested assets as per second quarter 2023. UBS helps clients achieve their financial goals through personalized advice, solutions and products. Headquartered in Zurich, Switzerland, the firm is operating in more than 50 countries around the globe. UBS Group shares are listed on the SIX Swiss Exchange and the New York Stock Exchange (NYSE).

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Media Contact: Christina Aquilina Christina.aquilina@ubs.com https://www.ubs.com

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