Patricia Landau is a Bates Consulting Expert with more than 30 years of industry knowledge in financial services. In addition to her deep expertise in insurance products/solutions, Patricia also has expertise in product management, operations and governance – as a senior executive working in collaboration with Morgan Stanley’s Executive Leadership Team on the Morgan Stanley Smith Barney conversion and integration.
Patricia served as President of the UBS Financial Services Inc. Insurance Agency and Executive Director for all insurance product offerings. In those roles, Patricia was responsible for the successful implementation and execution of all aspects of running the business, from strategy development to operational efficiencies, to compliance and regulatory matters.
She holds Series 7, 63 and 24 securities licenses, as well as life, health, long-term care, disability income and property and casualty licenses.
Patricia is a consultant and subject matter expert in these Practice Areas and Services:
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Securities and Financial Services Litigation & Consulting
- Retail Securities
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AML & Financial Crimes
- Third Party Risk Management
Credentials
EXPERIENCE
Bates Group LLC, Consulting Expert, 2023 – Present
Newtek Business Services Corporation, Senior Vice President, Relationship Manager and Project Manager, Lake Success, NY, 2020 – 2022
UBS Financial Services Inc., President UBS Life Insurance Agency, Project Manager and Executive Director, Weehawken, NJ, 2013 – 2020
Morgan Stanley Wealth Management, Executive Director, Business Head for Insurance and Project Manager, Purchase, NY, 2010 – 2013
Smith Barney, Vice President and Project Manager Corporate Client Group, New York, NY, 1998 – 2013
EDUCATION
Bachelor of Arts (BA), Economics and Sociology, Queens College, Queens, NY
PROFESSIONAL QUALIFICATIONS/LICENSING
Regulatory Compliance and Cybersecurity Specialization
Agent/Broker License for Life and Health, Property and Casualty
FINRA Series 7, 24, 63