My Story and Services

Welcome

Why Invest with me

My experience, combined with my background in the financial markets, has influenced my distinct planning approach to be both analytical and realistic. Upon meeting with my potential client, I start by listening and asking questions in order to understand their investment goals so I can utilize my process to formulate their plan.

Proactive communication is a core component of my high level of service. In addition to being very responsible and accessible, I conduct regularly scheduled review meetings in person and over the phone. I also limit the number of new relationships I take on each year. I work closely with my clients' other professional advisors to help ensure comprehensive alignment with their plan.

While I can serve the investment needs of many investors, a few of my areas of focus are:

-Impact Investing
-Business and Personal Finance Strategies
-Early Retirement Planning
-Legacy Strategy Planning
-Long Term Care and Planning for Healthcare Costs
-Social Security
Services Include
  • Financial Planning1
  • Retirement Planning2
  • Professional Portfolio Management3
  • Wealth Management4
  • 401(k) Rollovers
  • 529 Plans5
  • Philanthropic Services
  • Sustainable Investing6
  • Lending Products
  • Structured Products7
Securities Agent: CA, WA, NY, MO, MN, MA, CO, AZ; General Securities Representative; Investment Advisor Representative
NMLS#: 1431020
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Redefining Success

To help meet the unique objectives of my clients, we have been redefining the term "Investment Success". The commonly held myth is that investing with impact means sacrificing returns. A recent Morgan Stanley study of more than 10,000 mutual funds found that sustainable equity funds usually had equal or higher median returns and lower volatility than traditional funds. As more investors see past the lingering myths and begin to make impact investing a fundamental part of decision making, they will reap the benefits of a transforming economy.

    Impact Investing

    Invest According to your Values

    Today’s investors are increasingly seeking meaning. By allocating financial capital towards companies, industries and countries that are driving solutions to social and environmental plights, your capital can directly contribute to solving the world’s greatest sustainability challenges.


    Companies that exhibit revenue exposure to one or more of the themes have products and services that are directly creating solutions to address the long-term sustainability challenges of Climate Change, Water Scarcity, Waste Management, Food Availability, Health, and Wellness, and more.

    As a result, there are investment managers specifically focusing on environmental, social and corporate governance (ESG) that offer clients the opportunity to build personal wealth while creating a positive impact. Building on Morgan Stanley’s proven investment expertise, we have designed the Investing with Impact framework. This framework should be considered alongside traditional asset allocation, analysis and investment selection process, which is the basis for constructing our client’s risk-aware investment portfolios. Whether we decide to screen out certain sectors or move towards companies focusing on renewable energy, our job is to help you reflect a principled and moral conscious investment strategy that addresses serious environmental and social concerns.

      Experience

      Why I'm inspired to do what I do?

      Born and raised in New York,  I was deeply influenced by my families unforgettable summer trips traveling through North America. We spent time hiking and camping throughout the US, Canada, and Alaska enjoying the beautiful sights and scenery.

      For as long as I can remember, Nature has been a source of inspiration and perspective for me. I spent my college years in Colorado earning a degree in Finance from the University of Colorado, Boulder. Afterwards, I moved to San Francisco where I worked as a Floor Trader in the Option Pits on the Pacific Stock Exchange.

      It was here where I learned the mechanics of the financial markets and how the forces of capitalism reward short-term financial gains at the expense of the broader social good. My personal and work experience eventually led me down the path of Socially Responsible Investing.

        My Clients

        Redefining Success

        To help meet the unique objectives of my clients, we have been redefining the term "Investment Success". The commonly held myth is that investing with impact means sacrificing returns. A recent Morgan Stanley study of more than 10,000 mutual funds found that sustainable equity funds usually had equal or higher median returns and lower volatility than traditional funds. As more investors see past the lingering myths and begin to make impact investing a fundamental part of decision making, they will reap the benefits of a transforming economy.

          Location

          1333 N California Blvd
          Suite 133
          Walnut Creek, CA 94596
          US
          Direct:
          (925) 930-3851(925) 930-3851
          Toll-Free:
          (800) 949-5199(800) 949-5199
          Fax:
          (925) 933-7715(925) 933-7715
          From My Desk

          Make the Most of Your Short-Term Cash


          Investment and Market Perspectives

          On the Markets

          Retirement

          Working with you to understand your life goals and develop a personalized wealth strategy. Today and for the years to come.
          • 401(k) Rollovers
          • IRA Plans
          • Retirement Income Strategies
          • Retirement Plan Participants
          • Annuities
          The Simple Six-Step Retirement Checkup

          The Simple Six-Step Retirement Checkup

          Given market volatility in 2018, checking in on your retirement plan may be one of the wisest New Year’s resolutions you can make.

          Investing

          Working closely with you to guide your wealth and investments through the most challenging market cycles.
          • Asset Management
          • Wealth Planning
          • Traditional Investments
          • Alternative Investments
          • Impact Investing
          Five Smart Strategies to Use a Bonus or Raise

          Five Smart Strategies to Use a Bonus or Raise

          Have extra money coming in? Here are ways to put your money to work for you now, so you can reap the rewards down the road.

          Family

          Creating customized financial strategies for the challenges that today's families face.
          • Estate Planning Strategies
          • 529 Plans / Education Savings Planning
          • Long Term Care Insurance
          • Special Needs Planning
          • Trust Services
          Financial Transition: A Guide for Women

          Financial Transition: A Guide for Women

          Here's how to take control of your finances if a death or divorce leaves you holding the reins.

          Business Planning

          Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
          • Succession Planning
          • Business Planning
          • Retirement Plan Sponsors
          • Qualified Retirement Plans
          • Corporate Pension Funds
          6 Keys to Building a Startup

          6 Keys to Building a Startup

          Entrepreneurs share ideas and learnings from the experience of starting a company.

          Philanthropy

          Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
          • Endowments
          • Foundations
          • Donor Advised Funds
          • Impact Investing
          A New Roadmap for Mission Alignment

          A New Roadmap for Mission Alignment

          Non-profits, foundations and endowments need to ensure that their sources of capital are in sync with their stated goals.

          More from Morgan Stanley

          Consolidate Your Cash at a Competitive Rate

          Consolidate Your Cash at a Competitive Rate

          2.30% APY with Preferred Savings for New Money deposited through your eligible Morgan Stanley brokerage account. Contact me to learn more or click here. Terms apply.
          Learn more about Consolidate Your Cash at a Competitive Rate
          Morgan Stanley and Justin Rose: A Winning Team

          Morgan Stanley and Justin Rose: A Winning Team

          Morgan Stanley and our brand ambassador, PGA TOUR champion Justin Rose, share a set of core values and a common cause: giving books to children in need.
          Learn more about Morgan Stanley and Justin Rose: A Winning Team
          Your Financial World. On the Go.

          Your Financial World. On the Go.

          With the Morgan Stanley Mobile App, you’ll have the freedom to manage your investments and instantly access a suite of personal cash management tools.
          Learn more about Your Financial World. On the Go.
          Reserved | Living & Giving

          Reserved | Living & Giving

          Our complimentary program for eligible clients provides you and your family with access to exclusive offers and discounts from premium travel, automotive, health and wellness, and retail brands as well as curated insights from Morgan Stanley.
          Learn more about Reserved | Living & Giving
          Sign Up for eDelivery

          Sign Up for eDelivery

          With eDelivery, you’ll have easy access to statements, trade confirmations, general correspondence and much more.
          Learn more about Sign Up for eDelivery
          Access Morgan Stanley Online

          Access Morgan Stanley Online

          Morgan Stanley Online provides a comprehensive view of your assets and liabilities, projected income, breaking news, research and much more.
          Learn more about Access Morgan Stanley Online
          Ready to start a conversation? Contact Lee Gordon today.
          Market Information Delayed 20 Minutes
          1Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please consult with your Financial Advisor to understand these differences.

          2Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.

          3Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on your specific investment objectives and financial position, may not be suitable for you. Please see the Morgan Stanley Smith Barney LLC program disclosure brochure (the “Morgan Stanley ADV”) for more information in the investment advisory programs available. The Morgan Stanley ADV is available at www.morganstanley.com/ADV.

          4Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.

          5Investors should consider many factors before deciding which 529 plan is appropriate. Some of these factors include: the Plan’s investment options and the historical investment performance of these options, the Plan’s flexibility and features, the reputation and expertise of the Plan’s investment manager, Plan contribution limits and the federal and state tax benefits associated with an investment in the Plan. Some states, for example, offer favorable tax treatment and other benefits to their residents only if they invest in the state’s own Qualified Tuition Program. Investors should determine their home state’s tax treatment of 529 plans when considering whether to choose an in-state or out-of-state plan. Investors should consult with their tax or legal advisor before investing in any 529 Plan or contact their state tax division for more information. Morgan Stanley Smith Barney LLC does not provide tax and/or legal advice. Investors should review a Program Disclosure Statement, which contains more information on investment options, risk factors, fees and expenses and possible tax consequences.

          6The returns on a portfolio consisting primarily of Environmental, Social and Governance (“ESG”) aware investments may be lower or higher than a portfolio that is more diversified or where decisions are based solely on investment considerations. Because ESG criteria exclude some investments, investors may not be able to take advantage of the same opportunities or market trends as investors that do not use such criteria.

          7Structured Investments are complex and not suitable for all investors, and there is no assurance that a strategy of using structured product for wealth preservation, yield enhancement, and/or interest rate risk hedging will meet its objectives.

          The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.

          Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link: https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.

          The securities/instruments, services, investments and investment strategies discussed in this material may not be suitable for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.

          Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.

          The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.

          *References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.


          CRC 2019752 10/2018