OUR MISSION STATEMENT
At the Westchester Group, Our Mission Is Your Well Being
At the Westchester Group, Our Mission Is Your Well Being
At the Westchester Group our aim is to help build and protect our clients' tomorrows. We strive to work with you to provide personalized strategies and ongoing management designed to meet your goals within the context of your individual values and priorities.
Ellis is a founding member of The Westchester Group at Morgan Stanley. He is primarily responsible for discretionary portfolio management and overall investment policy planning and research.
Ellis began his career in financial services in 1970 on the institutional corporate bond desk of Smith Barney, a predecessor firm of Morgan Stanley Smith Barney’s. Prior to his 1981 decision to focus exclusively on individual investors, Ellis served as an institutional corporate bond salesman and sales coordinator and as head corporate bond trader at both Smith Barney and Shearson Hayden Stone, predecessor firms of Morgan Stanley Smith Barney. He was the founder and first manager of Smith Barney’s Corporate Bond Research Department and authored its weekly “Corporate Bond Comments” for several years.
In 1990, Ellis joined the Portfolio Management Group and as of July 2017 managed or helped to advise some $400 million of client assets for the Westchester Group. Ellis integrates financial planning into his investment process to assist in setting risk tolerance and return targets for clients.
Ellis was a founding member of the board of the Portfolio Management Institute, a not-for profit association of Morgan Stanley Smith Barney portfolio managers and served as its first secretary/treasurer from 2004-2010. He was also a member of Morgan Stanley Smith Barney’s proxy voting committee for managed accounts.
During the 1970’s and 1980’s, Ellis became quite active in community service, first as a member of the Board of Appeals and later its Chairman, and thereafter as a member of the Board of Trustees of the Village of Pelham Manor, NY, his home town. He was also President and a member of the Board of Governors of the Shenorock Shore Club of Rye, NY. A Rotarian, Ellis was named a Paul Harris Fellow and has served as President and on the Board of Directors of the Rotary Club of the Pelhams. He has been an active member of the service organization since 1981 and currently chairs the club’s scholarship committee.
A 1970 graduate of Princeton University, Ellis played varsity football for three years and captained the university’s 1969 Ivy League Championship team. He is on the Board of Directors of the Ivy Football Association and currently serves as an advisor to the Princeton Football Association. Ellis earned a Bachelor of Arts degree in history.
Ellis resides in Yorktown Heights, NY, and Raymond, ME, with his wife, Marilyn. They have four children: Jon, also a member of the Westchester Group, Carrie, Michael and Nikki; and six grandchildren, Natasha, Leo, Maxwell, Nathan, Stella and Natalie. In their leisure time, the Moore’s enjoy reading, travel, and exercise.
Securities Agent: CA, CO, CT, DC, DE, FL, GA, IL, LA, MA, MD, ME, NC, NJ, NY, OK, PA, RI, SC, TX, VA, VT, WA; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
Jon Moore joined the Westchester Group at Morgan Stanley in August, 2009 and is in charge of financial planning for the group. He joins his father Ellis Moore, Jr., a Senior Vice President and founding member of the group, in using financial planning as a basis for working to help meet client goals and objectives.
Upon attaining a Bachelor of Arts with honors at Syracuse University, Jon entered the financial services industry in 1996 working at Smith Barney. Within 2 years he was managing the creation, production and training for the financial planning software platform used by the firm. Over time, this developed into a role as director of strategy and development for the subsequent generation of Smith Barney’s financial planning software platform.
After many years engaged in financial planning on a theoretical level, Jon realized that his real passion lies in working directly with people in this capacity; he deeply enjoys drawing from his wealth management experience to provide personally crafted strategies that help individuals and families establish and meet their life and financial goals. His background allows him to work from a broad based, holistic financial planning platform that goes well beyond that of the casual practitioner.
Jon believes that asset management is best conducted not as an abstract exercise, but as a specific response to the particular needs and financial landscape of a client; as such, Jon works closely with Ellis to help design and implement financial life plans integrated with informed portfolio management.
As a CFP® certificant, Jon has successfully completed the rigorous education, examination, experience and ethics requirements required by the Certified Financial Planner Board of Standards, an independent professional regulatory organization. As such, he holds himself to and is held to the highest standards of ethics and competency for his clients. Jon’s enjoyment of working with those who are currently or will soon be retired has also led him to obtain his certification as a Chartered Retirement Planning CounselorSM and Retirement Income Certified Professional®.
Jon lives in Ridgefield, CT with his wife Lisa, his son Leo and his daughter Stella. In his free time, Jon coaches wrestling and t-ball, and enjoys obstacle racing.
Securities Agent: AZ, CA, CO, CT, DC, DE, FL, GA, IL, LA, MA, MD, ME, NC, NH, NJ, NY, OK, PA, RI, SC, TN, TX, VA, VT, WA; General Securities Representative; Investment Advisor Representative; Managed Futures
Dermod has been with Morgan Stanley and its predecessor firm Smith Barney since 1987. Dermod began his career in financial services in 1982 with Dowmar Securities, a syndicator of hotel properties.
Dermod is an avid follower of the stock and bond markets and managed $165,000,000 of client assets as of December, 2015. He is a subscriber to and a regular reader of the Wall Street Journal, Barron’s, Investor’s Business Daily and the New York Times. He takes great personal satisfaction in helping clients and their families set and achieve their financial goals.
Dermod is a graduate of Phillips Academy, Andover, MA, where he is the graduate secretary of his class and has served on the Alumni Council. He graduated from Princeton University in 1962 and is a member of the Class of 1962 Memorial Scholarship Committee.
Dermod is a 50+ year member of Winged Foot Golf Club, where he is the Chairman of the Library, Art & Trophy Committee. He also is a Trustee of the Rosa Trust, which manages the assets for the trust set up to benefit the family of a murdered employee of Winged Foot. In addition to golf, he enjoys the outdoor sports as a member of the Camp-Fire Club of America in Chappaqua, NY and the Lake Mansfield Trout Club in Stowe, VT. Dermod is widowed with two grown sons and has lived in Larchmont, NY since 1986.
Securities Agent: AZ, CA, CO, CT, DC, DE, FL, GA, IL, LA, MA, MD, ME, NC, NH, NJ, NY, OK, PA, RI, SC, TX, VA, VT, WA; General Securities Representative; Investment Advisor Representative
Karen has been with Morgan Stanley for the past 15 years and has over 20 years industry experience. Karen previously held a management position in the Greenwich office. Her expertise at Morgan Stanley includes compliance, account operations, and client management.
Karen lived in Athens Greece during the 1980’s while working for a Fortune 500 corporation. She currently resides in Bethel, CT with her two dogs, Hope and Teddy. Karen is a member of the Greek Orthodox Church and participates in the fund raising efforts throughout the year
Karen’s securities registrations include the Series 3,7,9,10,63,65. She is also a licensed life and health insurance provider. Karen has also received the Financial Planning Specialist designation. Karen attended University of Maryland in College Park, MD and when she moved to Greece she continued at the University of La Verne, an overseas branch of the California based university.
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