Financial Services has been a passion for Dan since 2004. Dan offers both an expertise in defined contribution retirement plans and an expertise in holistic financial planning for our individual investors and their families.

Dan is a graduate of Butler University, which is where he met his wife Kate. At UBS, Dan is a Senior Vice President and was invited to join a select group of advisors as a Senior Retirement Plan Consultant. Dan holds various professional designations including, Chartered Retirement Planning Counselor (CRPC), Chartered Retirement Planning Specialist (CRPS), and Accredited Investment Fiduciary (AIF). Dan has been recognized both internally at UBS and through numerous industry organizations. At UBS Dan made the Top 35 Under 35 Financial Advisors for 4 years in a row before aging out in 2018. He was also selected by UBS to be a member of the FA Advisory Council, a small group of advisors that works closely with senior leadership in the firm. In recent years Dan has been recognized by Forbes and Shook as a Top Next Generation Financial Advisor, by The National Association of Plan Advisors as a 401k Young Gun, and by 401k Wire as a top 300 most influential retirement plan advisor.

Dan and Kate reside with their three young children, Gabe, Meg, and Jessica in Fishers, Indiana. They are active in their church and community. Dan serves his church as a member of the Finance Committee and has recently rolled off of the board of directors. Dan and Kate enjoy coaching and organizing youth sports and doing anything related to running and cycling. They spend most of their leisure time with their family, boating and fishing.

Registered States:
AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, IL, IN, KY, MA, MD, MI, MN, MO, MT, NC, NJ, NM, NV, NY, OH, PA, SC, TN, TX, VA, WI

Brendon has been active in the Financial Services industry for over 25 years. He is passionate about helping individuals take actions that help them achieve their financial goals.

Brendon attained a Bachelors of Arts from Anderson Universit.   He earned his Certified Investment Management Analyst (CIMA) designation through a joint program from Yale via The College of Financial Planning. He is a select group of Advisors at UBS that is a Senior Retirement Planning Specialist as well as an Institutional Consultant.

Brendon works with business owners and institutional clients to help them create and adhere to processes that generate the best long term outcomes for both individual and corporate balance sheets.  He applies this same practice to help individuals within corporate retirement plans to succeed.

Brendon is an active outdoorsman and long term Assistant Scoutmaster with the Boy Scouts via Troop 199 in Fishers, Indiana.  He is also active with his church and volunteers with his youth group in an ongoing capacity.   Brendon, his wife and three children reside in Fishers, Indiana. 

Registered States:
AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, IL, IN, KY, MA, MD, MI, MN, MO, MT, NC, NJ, NM, NV, NY, OH, PA, SC, TN, TX, VA, WI, WV

Dave began his career in the financial services industry in 1985. He enjoys helping clients understand the capital markets and applying that knowledge to help them move closer to achieving their financial goals.

Dave received his Bachelor of Science degree in business from Ball State University. He obtained his Chartered Life Underwriter and Chartered Financial Consultant designations during his association with a major insurance company. He joined UBS in 2009 and earned the titles of Senior Portfolio Manager and Senior Vice President.

Primarily working with individual investors and their families, Dave focuses on helping clients implement goal based wealth management and strategic planning.

He lives in Indianapolis with his wife Theresa and his two children, Torsten and Heidi. He is active in his community and with his church. Dave likes to bike, hike, travel with his family and is acknowledged for providing expert reviews of malt beverages.

Registered States:
AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, IL, IN, KY, MA, MD, MI, MN, MO, MT, NC, NJ, NM, NV, NY, OH, PA, SC, SD, TN, TX, VA, WI

Mary has an extensive background in the financial services industry and has been an Investment Management Consultant for the past 20 years.  She provides customized investment management solutions to meet the specific needs of a select group of high net worth clients, corporations and foundations.

Prior to joining UBS, she served as Director of Consulting Services for National City Investments.   She has a bachelor's degree in Finance from Wright State University and holds a Certified Investment Management Analyst designation from The Wharton School of Business.  She holds the Series 7, 63 and 65 securities licenses.  She also holds life, health and variable insurance licenses.

She is a member of the Investment Management Consultants Association, American Business Women's Association, and has been privileged to serve on a SIA consulting round table.  Mary lives with her family in the Indianapolis area where she is active in various charitable events.

Registered States:
AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, IL, IN, KY, MA, MD, MI, MN, MO, MT, NC, NJ, NM, NV, NY, OH, PA, SC, TN, TX, VA, WI

With over 25 years at UBS, Marc’s financial services knowledge and expertise provide great depth on our team. He holds a B.A. from Northwestern University and a J.D. from Indiana University School of Law. He has also attained the CERTIFIED FINANCIAL PLANNER™ (CFP®), Accredited Investment Fiduciary (AIF) and Chartered Retirement Plans Specialist (CRPS®) designations. His career includes several years as an ERISA attorney in private practice and as a consultant for a pension and consulting firm before joining Paine Webber in 1993.

Marc is passionate about maintaining a healthy lifestyle and enjoys golf and travel in his spare time. He is also active in both his community and his church.

Registered States:
AZ, CA, CO, DC, FL, GA, IL, IN, MI, NC

With over 25 years in Financial Services, Sandra brings experience in both management and the client experience.  As the Team Business Manager, Sandra is responsible for synchonizing and managing various facets of the practice to ensure a platinum client experience for private and institutional clients alike.

Sandra graduated magna cum laude from Indiana Wesleyan University earning a bachelor of science degree in business management.   She also holds her Series 7, 63, 31, 9 and 10 licenses.

Sandra and her husband, Kevin, enjoy leading various volunteer activities for their three elementary aged children (Peter, Kiernan and Colin) including robotics, school council, and the little flowers club.  Their family of five enjoy anything that they can do together.

Registered States:
IL, IN, NJ, OH

Richard started his career in the financial services industry in 1980. A graduate of Hope College, he is a Senior Wealth Strategy Associate and CERTIFIED FINANCIAL PLANNER™ (CFP®). In addition, he has earned the Accredited Retirement Plan Consultant (ARPC) from the Society of Professional Asset Managers and Record Keepers (SPARK). His primary areas of focus are defined contribution plans, mutual fund analysis and holistic financial strategies.

In Rich's spare time, he enjoys participating in cycling events such as the Hilly Hundred.  He and his wife, Deb, also enjoy active participation in their church and any opportunity to travel.

Registered States:
AL, CT, FL, IL, IN, KY, MA, MD, MI, MN, MO, NJ, NY, OH, TN, WI

Ozzie brings nearly 38 years of experience in the financial services industry. Throughout his career, he has provided financially based solutions to companies, foundations and private clients.

He earned a B.S. degree in business administration as well as a Certified Financial Planner ™ (CFP®) designation and a Chartered Retirement Plan Specialist™ (CRPS®) designation from the College for Financial Planning in Denver Colorado.

Ozzie’s approach to his retirement advisory and consulting practice includes a defined, thorough and evolving servicing process for corporate and institutional clients. Ozzie is a Director and Planning Specialist for the Promus Wealth Management Group at UBS Financial Services and is dedicated to providing advisory services within the guidelines of the Retirement Plan Consulting Services unit of UBS. He earned the privilege to represent UBS in a consulting role as a result of 23 years of experience and education in qualified retirement plans.

As a financial advisor at UBS, Ozzie earned the designation of Senior Retirement Plan Consultant and Portfolio Manager and earned the Financial Times accolade of Top 401k Retirement Plan Advisor in 2016 and 2017 before a change of roles within the firm eliminated his eligibility to these designations.

Ozzie is the former President of a suburban Chamber of Commerce and has served on the board of a several local chapters of nationally known charities. He has also provided his time and energy to Meals on Wheels and spent an entire summer with a small group of volunteers building an entire home for Habitat for Humanities. Additionally, Ozzie founded and presided over a regionally based business networking organization for over twelve years.

Registered States:
CA, IN, MI, OH

Katie began her career in the financial services industry in 1998.  As a Senior Wealth Strategy Associate and Consulting Associate, her primary focus is defined contribution plans.  

Katie earned her B.A. from Denison University in both Mass Communication and Physical Education and holds Series 7, 63, and 65 licenses.

Katie enjoys traveling, fishing, and spending time in the great outdoors.   She and her husband, Mark, also enjoy the activities of their two daughters, Megan and Peyton.

Registered States:
IL, IN, KY, OH, PA, WV

Ben began his career in financial services in 2007, primarily focusing on the development and monitoring of asset allocation models, specializing in active trading, and incorporating options into investment strategies. Ben’s primary role is to provide market research and commentary, portfolio recommendations, and deliver a platinum client experience.

Born and raised in Indiana, he earned a degree in Finance and Economics at the University of Indianapolis. He holds his Series 7 and 66 along with financial industry management licenses Series 9/10. In Ben’s spare time he enjoys traveling, spending time with family and friends, and outdoor activities (golfing, fishing, hunting).

Registered States:
AZ, CA, CO, DC, FL, GA, IA, IL, IN, KY, MD, MI, MN, MT, NC, NJ, NY, OH, PA, SC, SD, TN, TX, WI

Kirsten began her career in financial services at UBS in early 2007.   Kirsten's start date coincided with one of the more challenging times in history for the financial markets.   This time sharpened her people and operational skills making relationship management a clear strength for Kirsten.

Kirsten earned a degree in Office Administration from Tennessee Temple University.   She holds Series 7, 63 and Series 65 licenses.  Kirsten's knowledge of financial markets, as well as, her organizational and communication skills allow her to deliver an extraordinary level of service to our clients.   Kirsten's top priority is to quickly resolve any administrative account issues and she uses the extensive capabilities of UBS to meet all aspects of your ongoing needs.

In her down time, Kirsten enjoys spending time with her husband, Dave.   They live on a horse farm in Fountaintown, Indiana with their dog, Augustus.   Kirsten is a die hard Tennesse Volunteer, and a singer.  She and her husband enjoy a blended family of 6 adult children living in 3 different states, including her beloved Tennessee.  

Registered States:

AL, AZ, FL, GA, IN, KY, MT, PA, TN, VA, WV  

Registered States:
AZ, CA, CO, FL, GA, IA, IL, IN, KY, MD, MN, NJ, NY, OH, PA, SC, TN, TX, WI

Cindy assists clients in all aspects of service, including account maintenance, banking services and administrative support. Cindy has been with UBS for 35 years, previously in the Operations arena and recently became a Senior Registered CSA with the Promus Wealth Management Group. With Cindy’s background in Operations, she is able to focus on that side of our business to make sure client’s needs are met. Cindy holds the Series 7, 9, 10 and 63 licenses. Cindy has 2 children and 9 grandchildren. In her spare time, in addition to spending time with the grandchildren, she is a volunteer CASA with Child Advocates working with foster children. She also enjoys reading and gardening.

Registered States:
IN

With 30 years of experience in the financial service industry, Lisa has crafted her role to provide an exceptional client experience and an integrated suite of services to affluent families.  Lisa works closely with Mary Townsend and oversees all of the operations and administration of Mary's client accounts.  Lisa's passion to assist her clients was recognized when she earned Support Partner of the Year in 2017.  Lisa holds FINRA Series 7, 63 and 66 securities licenses as well as life insurance license.

Registered States:
FL, IL, IN