James M. Lyon, CFA® Financial Advisor UBS Financial Services Inc. 3011 Townsgate Road, Suite 300 Westlake Village, CA 91361 Phone: 805-367-3630 Fax: 805-367-3701 Email: james.lyon@ubs.com Web: ubs.com/fa/jameslyon

Member: Professional Resource Group Professional Service: Financial Services

BUSINESS BIO: Jim has more than 25 years experience in the field of finance and more than 17 years experience in portfolio management. Prior to joining UBS in 2006, he was the director of equity investments at Oakwood Capital Management and a member of its investment policy and managing member committees. Previously, he held various executive positions at Lyon Investment Management Company, Independent Advantage Financial and Logicon/R&D Associates. In 1994, Jim earned the prestigious Chartered Financial Analyst® designation from the CFA Institute, and served on its board of governors from 2003 to 2006. He is registered as a general securities representative and licensed investment adviser holding Series 7, 24, 63 and 65 licenses. In the state of California, he holds insurance licenses in life and variable annuities. PERSONAL BIO: Jim received a B.A. in business administration and an M.B.A. from California State University, Northridge. For five years, he served as co-director for the USC/CFALA CFA review program, and he also taught classes in ethics and professional conduct, financial statement analysis and equity security analysis. He formerly served as president and as a board member of the CFA Society of Los Angeles. Jim, his wife, Theresa, and their two children live in Westlake Village. In his spare time, Jim volunteers as a coach and board member for the AYSO Region 4 – Agoura-Westlake.