The Duddingston
Sylvester Group
at Morgan Stanley
Smith Barney
225 South Sixth Street
Suite 5100, Minneapolis, Minnesota 55402
866-984-1044
 / Toll-F ree
612-340-6729  / M a i n
morganstanley.com/fa/
duddingstonsylvestergroup
[email protected]
At the Duddingston Sylvester Group at Morgan Stanley
Smith Barney, we share our clients’ belief that “wealth” goes
beyond money. It is the blessings of family. It is the richness of
friendship. It is the good fortune of being in a position to make
a positive impact on society. That’s why we work hard to help
our clients define the goal of their investing, and then bring
them a wide array of tailored strategies to help them reach it.
And to ensure their confidence in us, we sign a code of ethics
stating that we’ll adhere to the highest levels of integrity
when doing so.
Whether you need individual investment guidance, family
wealth counseling, or represent an institution, we can help
align your wealth with your objectives.
Managed responsibly and rooted in integrity, we
pride ourselves on offering uncommon, unexpected, but
appreciated service.
T h e Du ddi ngs ton S y lv es t er Grou p
3
Meet the Professionals
Left to right: Justin Botham, Todd Sylvester, Chuck Duddingston,
Kory Steil, Diane Thiers, Mark Sylvester
4
Morgan Stan le y Sm i t h Barn e y
Chuck Duddingston, CIMA®
Todd Sylvester
Senior Investment Consultant
Senior Vice President
Wealth Advisor
Senior Vice President
Wealth Advisor
As a fully licensed investment professional for more than 28 years, Chuck
works with multi-generational families
on wealth management and next generation money acumen. He believes in
the concept that your financial advisor
should offer more capabilities than traditional money management. For that
reason, he enjoys working with families
on offering guidelines and resources for
engaging, educating, and equipping the
next generation for financial success.
With many of his clients being senior
level partners and business owners,
Chuck developed a complimentary side
to his practice offering institutional
investment consulting services to corporate retirement plans.
Being CIMA® (Certified Investment
Management Analyst) certified since
1999, Chuck incorporates a rigorous
investment management process for
both client segments in choosing and
selecting potential investment portfolios.
He has three daughters and two
sons. He is currently an advisory board
member to the American Craft Council
and is a member of the Classic Car
Club of America.
Knowledge of sophisticated compensation
programs is vital when working with
senior level corporate executives. Todd
has more than 12 years of experience
working with senior level executives
on creating and implementing a holistic
and personal wealth strategy, with a
concentration on creating strategies to
monetize and diversify concentrated
equity positions, restricted stock and
stock option holdings.
Todd believes a wealth strategy must
include conversations about investment management and lifestyle goals.
But, it should also be personal, and
address issues at the center of clients’
financial lives. Indeed, a sophisticated
wealth strategy should offer guidance
on portfolio questions, but it should also
reflect the values and goals important
in the clients’ overall financial life.
Todd is a member of the Lutheran
Social Services Foundation Board and
is active on their Donor Relations and
Marketing Committee. He is also a member of the Classic Car Club of America.
T h e Du ddi ngs ton S y lv es t er Grou p
5
6
Mark Sylvester
Justin Botham
Financial Advisor
Financial Advisor
Offering a unique investment perspective
to the group, Mark joined the Duddingston Sylvester Group after graduating
law school in 2008. While at school,
he concentrated his degree on hedge
fund regulation and corporate finance.
He uses those areas of knowledge in
working with high net worth individual
clients in discussing alternative forms
of investments and income producing
portfolios.
Being part of a smaller family within
the office (he and Todd are brothers),
Mark enjoys working with the next
generation of clients on financial acumen or money habits. This could include
budget creation, basic financial acumen
or large purchase consultation. This
conversation was a natural progression
for Mark after clerking at an estate
planning law firm for many years prior
to joining the group.
He received his B.A. from Saint John’s
University in Accounting and Political
Science, and received his J.D. from the
University of Saint Thomas School of
Law. He currently resides in Shorewood
with his wife Jessica and daughter Drew.
In an ever changing investment landscape, it is essential to have the analytical
tools necessary for effective portfolio
management and construction. Justin
provides these services to the team.
He is responsible for implementing,
updating and rebalancing all client
investment accounts.
In addition to portfolio management,
he runs the financial planning process
within the group. He takes pride in
offering a planning process that focuses not only on the real returns of
the investment portfolio, but the overall
financial life of the client. By using this
approach, he is able to more effectively
model future lifestyles sought and make
recommendations to Chuck and Todd
on current portfolio management.
Justin received his B.A. from Iowa
State University in Finance. He lives in
Minneapolis with his wife Megan. He
enjoys frequenting local restaurants and
spending time at his family’s cabin on
Lake Minnetonka.
Morgan Stan le y Sm i t h Barn e y
Diane Thiers
Kory Steil
Senior Registered Associate
Senior Registered Associate
Diane is responsible for the day-to-day
management and coordination of the
team activities, events and operational
functions. She enjoys helping client’s,
their trustees and trusted advisors
implement their financial plans to
achieve their financial goals. She is
firmly committed to long-term client
relationships and strives to deliver
exceptional client service.
Diane’s career in the financial services
industry began in 1974 which has given
her an extensive knowledge in financial
planning. She graduated from Saginaw
Valley State University with a B.B.A.
and MBA in Finance and Management.
She resides in White Bear Lake with
her husband Jim, and enjoys spending
time with their grandchildren.
Kory has a diverse background that allows him to wear many hats, often taking
on difficult and expansive projects. He
prides himself on making cumbersome
processes seem simple to clients.
With experience servicing institutional
deferred compensation plans, Kory
routinely works with senior executives
and corporate staff on employee compensation transactions. Over the year’s
he has worked with several Fortune
500 corporate plans.
Kory has been in the financial services
industry since 1999. He graduated from
the University of Minnesota Duluth with
a B.B.A. in Management. He resides in
Blaine with his daughter Karoline and
son Samuel and enjoys coaching youth
athletics and volunteering as a mentor
to high school students.
T h e Du ddi ngs ton S y lv es t er Grou p
7
Morgan Stanley Smith Barney strives to offer clients the finest
in financial thinking, products and execution to help them meet
their individual needs and achieve their personal financial goals.
When we work together, you’ll benefit from personalized advice,
objective guidance and dedication to your success as an investor.
With access to Morgan Stanley Smith Barney’s renowned
global resources and investment opportunities, we can help you
develop and maintain an optimal investment strategy. Our wealth
management strategy will address key areas of your financial
life beyond traditional investments and may incorporate diverse
recommendations for building and protecting your wealth.
Morgan Stanley Smith Barney offers a wide
array of brokerage and advisory services to
its clients, each of which may create a dif-
ferent type of relationship with different
obligations to you. Please contact us to
understand these differences.
© 2011 Morgan Stanley Smith Barney LLC. Member SIPC.
6727599 05/11