Scott L. Brown, CFP®, CIMA®, CRPC®
CEO, Founding Partner
PIM Portfolio Manager
As CEO and Founding Partner of Shore to Summit Wealth Management, I’ve dedicated more than 30 years to guiding clients toward not only their financial goals, but also the life goals that matter most. My career has spanned large global banks, regional firms, and independent broker dealers, and in 2017 I co-founded Shore to Summit to create a practice rooted in independence, integrity, and genuine partnership.
My approach is shaped by both professional rigor and personal experience. As a CERTIFIED FINANCIAL PLANNER®, Certified Investment Management Analyst®, and Chartered Retirement Planning Counselor®, I bring a disciplined, credentialed perspective to wealth management. Along the way, I’ve been honored to be recognized among Barron’s Top 1,000 Financial Advisors1 (2011–2013) and included in AdvisorHub’s list of 150 Advisors to Watch over $1BIL2 (2024, 2025). I’ve also been a proud member of the Investments & Wealth Institute since 2004.
Service has always been central to who I am. I had the honor of serving as a Captain in the U.S. Army Reserve, an experience that instilled resilience, leadership, and a deep respect for teamwork. Today, those values continue to guide how I lead our practice and how I show up for our clients.
Outside of work, I’m grateful to call Bozeman, Montana home, where I live with my wife, Kelly, and our two children, Liam and Logan. Whether I’m skiing alpine trails, biking mountain paths, or spending time on the water, I find joy in the outdoors and in building community. I’m also active in my church and involved with local nonprofits, because giving back is as important to me as helping clients move forward.
At Shore to Summit, we believe wealth management is about more than portfolios and planning — it’s about people, purpose, and possibility. That’s the journey I’m proud to lead every day.
1 2013 Barron’s Top 1,000 Financial Advisors: Awarded February 2013; Data Compiled by Barron's based on the time period from Oct. 2011 - Sept. 2012 (Source: Barrons.com). 2012 Barron’s Top 1,000 Financial Advisors: Awarded February 2012; Data Compiled by Barron's based on the time period from Oct. 2010 - Sept. 2011 (Source: Barrons.com). 2011 Barron’s Top 1,000 Financial Advisors: Awarded February 2011; Data Compiled by Barron's based on the time period from Oct. 2009 - Sept. 2010 (Source: Barrons.com). The Barron’s Top 1,000 Advisors ratings are based on the previous year’s assets under management, revenue generated for the advisors’ firms, and the quality of the advisors’ practices. Investment performance isn’t an explicit factor because clients have varied goals and risk tolerances. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
2 2025 AdvisorHub Advisors to Watch: Awarded June 2025; Data compiled by AdvisorHub based on time period from 12/31/23 – 12/31/24 (Source: AdvisorHub). 1984 wealth managers were considered for the rating; 1000 (50.6% percent of candidates) were named 2025 AdvisorHub Advisors to Watch. 2024 AdvisorHub Advisors to Watch: Awarded June 2024; Data compiled by AdvisorHub based on the time period from 12/31/22 - 12/31/23 (Source: AdvisorHub). 1987 wealth managers were considered for the rating; 1000 (50.3% percent of candidates) were named 2024 AdvisorHub Advisors to Watch. The AdvisorHub Advisors to Watch (A2W) rating produced by AdvisorsHub is based on industry experience, assets under management, revenue, growth, compliance records, professionalism, and other criteria. Investment performance is not a criterion. Self-completed survey was used for rating. The rating is not related to the quality of the investment advice and is based solely on the disclosed criteria. A2W winners are then ranked into subcategories based on scale, growth and professionalism with each winner being ranked into only one subcategory. The 150 Advisors over $1Bil ranking is a subcategory of the AdvisorHub Advisors to Watch rating and does not denote an additional rating.
Benjamin D. Spiker, CFP®, CRPC®
COO, Founding Partner
PIM® Portfolio Manager
I’ve seen that the best financial strategies aren’t just about money—they’re about helping people live with confidence.
I co-founded Shore to Summit Wealth Management in 2017 after more than a decade at Merrill Lynch and four years at Smith Barney. With over 25 years of experience, I specialize in helping entrepreneurs, professionals, and families integrate employer benefits, compensation, and retirement planning into holistic strategies that endure.
As a CFP® and CRPC®, I’m committed to empowering clients through education and partnership. Recognized as a Five Star Wealth Manager* (2013, 2015, 2019, 2020, 2023-2026) in Baltimore Magazine and The Wall Street Journal, I strive to pair disciplined investment principles with advice that empowers real lives.
Beyond my work with clients, I served for over 20 years on the Executive Board of Ghanaian Mothers’ Hope, Inc., supporting mission trips focused on education, health programs, and building preschools and medical centers to empower future leaders in Africa.
I live in Severna Park, Maryland with my wife Brittany and our daughter Annabelle, and I’m also the proud father of two grown sons, Aidan and Rylan. Outside of work, I enjoy boating, reading, coaching, and staying active with my family.
Whether guiding clients or serving abroad, I believe in building futures through education, partnership, and lasting impact.
*This award was issued on 01/01/2026 by Five Star Professional (FSP) for the time period 04/10/2025 through 10/01/2025. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 2446 Baltimore-area wealth managers were considered for the award; 217 (9% of candidates) were named 2026 Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. Visit www.fivestarprofessional.com.
This award was issued on 01/01/2025 by Five Star Professional (FSP) for the time period 04/10/2024 through 10/31/2024. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 2389 Baltimore-area wealth managers were considered for the award; 254 (11% of candidates) were named 2025 Five Star Wealth Managers.
This award was issued on 01/01/2024 by Five Star Professional (FSP) for the time period 04/10/2023 through 10/31/2023. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 2149 Baltimore-area wealth managers were considered for the award; 259 (12% of candidates) were named 2024 Five Star Wealth Managers.
This award was issued on 01/01/2023 by Five Star Professional (FSP) for the time period 04/18/2022 through 10/21/2022. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 2126 Baltimore-area wealth managers were considered for the award; 256 (12% of candidates) were named 2023 Five Star Wealth Managers.
This award was issued on 01/01/2020 by Five Star Professional (FSP) for the time period 04/01/2019 through 11/13/2019. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 1898 Baltimore-area wealth managers were considered for the award; 234 (12% of candidates) were named 2020 Five Star Wealth Managers.
This award was issued on 01/01/2019 by Five Star Professional (FSP) for the time period 04/19/2018 through 11/07/2018. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 1865 Baltimore-area wealth managers were considered for the award; 265 (14% of candidates) were named 2019 Five Star Wealth Managers.
This award was issued on 01/01/2015 by Five Star Professional (FSP) for the time period 06/16/2014 through 11/09/2014. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 1749 Baltimore-area wealth managers were considered for the award; 412 (24% of candidates) were named 2015 Five Star Wealth Managers.
This award was issued on 01/01/2013 by Five Star Professional (FSP) for the time period 06/16/2012 through 11/09/2012. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 1490 Baltimore-area wealth managers were considered for the award; 448 (30% of candidates) were named 2013 Five Star Wealth Managers.
Thomas “Tod” Brown
Managing Director, Operations
Tod Brown is an experienced counterintelligence agent and intelligence officer with over 35 years of experience managing intelligence activity in a variety of mission and senior leadership positions. He has served with the Defense Intelligence Agency, the Office of the Director of National Intelligence, and the Department of Energy Office of Counterintelligence. Prior to working in intelligence, he worked as a nuclear engineer for the Department of Energy focusing on nuclear weapon security issues. He began his career as a nuclear engineer at the Norfolk Naval Shipyard working reactor servicing for the USS South Carolina and USS Virginia.
Mr. Brown served 28 years in the US Navy Reserve, retiring at the rank of Commander. He filled numerous positions as an intelligence officer including a tour with the Chairman of the Joint Chiefs of Staff, Directorate of Intelligence at the Pentagon. He was a watch officer at the National Military Command Center in a time that included service immediately prior to and after the 9-11 attacks. He was mobilized for active duty in 2003-2004 and led a team of analysts at DIA focused on high-priority Al-Qaida targets in East Africa. He later served over 9 years as a Naval Attaché, supporting US Embassy, Defense Attaché Offices in Asia. He completed reserve tours in Cambodia, Vietnam, Malaysia, New Zealand, Japan, Singapore and Indonesia. His military decorations include the Joint Service Achievement Medal, Joint Service Commendation Medal, and Defense Meritorious Service Medal.
He completed his PhD in Public Policy, with a national security/counterterrorism focus at Liberty University in May of 2023 and he serves as an adjunct professor at both Liberty and Embry-Riddle Aeronautical University.
Mr. Brown holds a bachelor’s degree from the United States Merchant Marine Academy at Kings Point, NY. He also holds a Certificate of Graduate Studies in Intelligence from the Institute of World Politics in Washington, DC and a Master of Arts in National Security and Strategic Studies from the Naval War College. Mr. Brown is married with three children.
Chris Fiacco, CIMA®
Managing Partner
- Husband to Denyele
- Dad to Zach, Jake, Julia, Natalie & Audrey
- Former Marine Infantry & Reconnaissance Officer
- 13x Ironman-distance finisher
- Financial advisor, business builder & professional relationship guy
- Boater, waterman and happiest somewhere near the water
- Believer in Enjoy the Ride
A Little More About Me
I’ve spent most of my adult life doing work centered around people, leadership and service.
Today, I’m a Managing Partner at Shore to Summit Wealth Management, where I help lead our practice, oversee our Melbourne, Florida office and play a critical role in our business development efforts across the country. One of the things I enjoy most about my role is getting to know great financial advisors, entrepreneurs and families, understanding what they are trying to build, and figuring out how we can help them get there.
I’ve been in financial services for more than 24 years. Before Shore to Summit, I spent a significant part of my career with Janus Henderson Investors, where I had the opportunity to work alongside thousands of financial advisors and their clients across the country. That experience gave me a front-row seat to what separates good advice from great advice — and reinforced my belief that this business is ultimately about relationships, trust and helping people make better decisions.
I earned the Certified Investment Management Analyst® (CIMA®) designation through Wharton and the Retirement Management Advisor® (RMA®) designation through the Investments & Wealth Institute, with executive education through the University of Chicago Booth School of Business. I also received my bachelor’s degree from Worcester State College.
Long before financial services, however, I was a United States Marine. I served eight years on active duty as an Infantry Officer, Reconnaissance Platoon Commander and Company Officer at the United States Naval Academy, ultimately attaining the rank of Major. The Marine Corps shaped much of how I still approach life and business today: take care of your people, embrace hard things, stay focused on the mission and never take yourself too seriously.
Service remains a big part of my life outside of work as well. I co-founded Bourbon & Bowties Baltimore, serve on its board and currently serve as president. The organization supports charitable organizations throughout the Baltimore community, including causes serving veterans and other families and organizations in need.
But the titles I care about most are husband and dad.
My wife, Denyele, and I have five kids — Zach, Jake, Julia, Natalie and Audrey — and our family is at the center of pretty much everything we do. Life with our crew is busy, occasionally chaotic and rarely boring, which is exactly how I like it.
Outside of work, you’ll usually find me somewhere near the water, on a boat, working out, traveling or figuring out the next adventure. I’ve completed 13 Ironman-distance triathlons, including the Ironman World Championship in Hawaii. These days, I’m a little less obsessed with finish times and a lot more interested in making sure I actually enjoy the ride.
That philosophy carries into my work as well. Build something meaningful. Surround yourself with great people. Do work that matters. And remember to enjoy the ride along the way.
Ken Jubert
Managing Partner
Ken Jubert, Managing Partner, Strategic Growth, brings over 18 years of success as an innovative divisional business leader to Shore to Summit Wealth Management, LLC. Prior to joining Shore to Summit Wealth Management, Ken spent the last 15 years as a divisional and regional leader within Wells Fargo Advisors. He last served as Regional Head, Senior Vice President for Wells Fargo Advisors Financial Network growing and managing the Western Division and select states within the Central Division.
Ken Brings a wealth of talent in growing and managing divisions and business units including expertise in business development, recruiting, mergers & acquisitions and relationship management to our rapidly growing wealth management partnership. Ken had been a trusted partner during his tenure at Wells Fargo Advisors Financial Network (WFAFN) to Shore to Summit having played a key role in recruiting our founders Scott Brown, CEO & Co-Founder and Ben Spiker, COO & Co-Founder to WFAFN from Merrill Lynch in 2017. We are looking forward to Ken's unique perspective on enhancing culture and building relationships. Prior to his wealth management career Ken spent over 15 years in Information Technology helping customers build, run and secure hardware and software applications.
Ken resides in Portland, OR and is an avid enthusiast of vintage cars, watches, and art. Originally from Ohio, he has embraced the outdoor lifestyle of the Pacific Northwest and enjoys hiking, biking, camping, golfing and most recently he has added Latin dancing to his activities. Ken is active in the Portland and Seattle art communities and is a member of the Black African American Advisor Association and National Sales Network.
Ken earned his bachelor’s degree in business administration from Wittenberg University in Springfield, Ohio.
Kelly M. Brown, CRPC®
Managing Partner
Kelly joined Shore to Summit Wealth Management in 2017 as Vice President specializing in retirement planning and client relationships.
She has worked with CEO, Scott Brown and COO, Ben Spiker for over 20 years and has more than 30 years of experience helping clients to achieve their financial goals. Kelly's prior positions include roles with Merrill Lynch, Smith Barney, and Johnston Lemon. She earned her bachelor's degree from the University of Maryland and holds the Chartered Retirement Planning CounselorSM designation.
Kelly resides in Bozeman, MT, with her husband, Scott, and their two children, Liam and Logan. She enjoys spending time with her family skiing, hiking, golfing, and playing paddle ball.
Taffy Davies
Managing Director of Marketing
As a Managing Director of Marketing, Taffy works closely with COO, Ben Spiker and Managing Director, Sherry Saucerman to assist clients with various servicing and operational needs. With seven years of financial industry experience, Taffy takes great pride in continuing her financial education to best serve our clients. Being on a smaller team lends itself to a high touch personal approach when servicing our clients, an aspect of the job Taffy thrives in.
Before joining Shore to Summit Wealth Management in 2022, Taffy worked at another investment planning practice, as well as in the non-profit industry. She has a bachelor’s degree in political science from UNC Charlotte and has earned her FINRA Series 7 securities registration.
Away from the office, Taffy enjoys spending time with her spouse and teenage son. She loves to travel and has hiked in many places in the United States, as well as in Switzerland and Peru. As a self-identifying “Anglophile,” she is fond of the United Kingdom and lived there for a year. Taffy regularly gives to World Central Kitchen and strongly supports its mission.
Aiyanna Tyler
Managing Director of Client Relationship Management
As our Managing Director of Client Relationship Management, Aiyanna has brought exceptional client service to Shore to Summit Wealth Management since 2017. She brings a depth of industry experience and has a great enthusiasm for working with clients. Aiyanna is a natural born leader on the Shore to Summit team and has worn many hats over the years. She genuinely enjoys helping our clients through all of life's ups and downs.
In her spare time, Aiyanna enjoys hanging with her children, spoiling her grandchild, doing craft projects, and party planning. She hopes to explore more European countries in the coming years.
Patrick T. Logue
Partner
Patrick T. Logue spent ten years teaching and coaching, Pat left the educational field and went full time into the financial industry. He has been a licensed investment advisor for over 40 years. Pat started Logue Financial Services in 1990, brokering his investments through Lincoln investment. In addition to servicing his own clients, he has served as Branch Manager for his office in Hanover, PA for the past 32 years. He was inducted into the Lincoln Investment Hall of Fame 2000.
Mr. Logue earned his BA in Psychology and BS in Secondary Education from Edinboro University, in Edinboro, PA where he was a member of the nationally ranked cross country and track teams. After college he taught and coached at Sandusky City Schools in Sandusky, OH. While in Ohio he completed his master’s degree in guidance and counseling from the University of Toledo. He was inducted into the Sandusky Hall of Fame as a Coach for his achievements with the cross country and track teams.
Pat has been married to his college sweetheart, Karen, for 45 years. They are both highly active and giving to the local community. Especially important to them are youth activities and sports. Pat was co-founder of Little League Baseball in Hanover, he started a youth basketball program in the local school district for grades 4-8. Additionally, Pat served as organizing President of Dollars for Scholars for this local school district, has been a volunteer coach for many youth sports and sponsors multiple youth league teams and donates regularly to high school clubs and events.
Mr. Logue looks forward to the new partnership with Shore to Summit to continue to assist clients in achieving their financial goals. He is proud to have his two sons, Ryan, and Sean, as his partners at the Hanover, PA branch of Logue Financial. Ryan and Sean will join Pat in the transition to Shore to Summit Wealth Management and this will ensure all clients continuity with the practice and an eventual succession plan.
Mark Jutkowitz, CFP®, CDFA®
Managing Partner
Senior Financial Advisor
Mark joined Shore to Summit Wealth Management, LLC in July 2025. He was formerly with the Lindenberg Wealth Management Group of Wells Fargo Advisors since 2017. Previously, he spent several years as a Financial Advisor at both CIC Wealth in Rockville, MD and ING Financial Partners in Tysons, VA. Mark's passion for helping people reach their financial goals is what drives him to take the time to understand each client's unique situation. He specializes in helping individuals and families navigate through complex life events and transitional periods where proactive planning can make all the difference.
In 2024 and 2025, he was named to AdvisorHub Advisors to Watch 100 NextGen*, a national list comprised of financial advisors under the age of 45.
In addition to holding securities registrations and insurance licenses, Mark is a CERTIFIED FINANCIAL PLANNER® professional, which he obtained after completing the financial planning program through Kaplan University. Mark also holds a CDFA®,** Certified Divorce Financial Analyst designation, further qualifying him to help with the complexities of divorce.
Prior to this, Mark earned a bachelor’s degree in economics from The University of Maryland where he also played Division I lacrosse.
Engaged in both the industry and community, he is a member of the Leadership Breakfast Group of Maryland. Mark helped establish the Advisors Alliance Roundtable, a philanthropic focused group sponsored by the United Jewish Endowment Fund and the Jewish Federation of Greater Washington.
Outside of the office, he is a defender for the Israeli National Lacrosse Team, competing worldwide and takes part in the initiative to grow the sport in Israel. Off the field, you'll find Mark on the sidelines - coaching a youth travel lacrosse team, based in Bethesda, MD.
CA Insurance License Number: 0M76188. Resident State Maryland.
*2024 AdvisorHub Advisors to Watch: Awarded June 2024; Data compiled by AdvisorHub based on the time period from 12/31/22 - 12/31/23 (Source: AdvisorHub).
The AdvisorHub 2024 Advisors to Watch (A2W) rating produced by AdvisorsHub is based on industry experience, assets under management, revenue, growth, compliance records, professionalism, and other criteria. Investment performance is not a criterion. Self-completed survey was used for rating. The rating is not related to the quality of the investment advice and is based solely on the disclosed criteria. A2W winners are then ranked into subcategories based on scale, growth and professionalism with each winner being ranked into only one subcategory. The 100 Next Gen ranking is a subcategory of the AdvisorHub 2024 Advisors to Watch rating and does not denote an additional rating. 1987 wealth managers were considered for the rating; 1000 (50.3% of candidates) were named 2024 AdvisorHub Advisors to Watch.
2025 AdvisorHub Advisors to Watch: Awarded June 2025; Data compiled by AdvisorHub based on the time period from 12/31/23 - 12/31/24 (Source: AdvisorHub). The AdvisorHub 2025 Advisors to Watch (A2W) rating produced by AdvisorsHub is based on industry experience, assets under management, revenue, growth, compliance records, professionalism, and other criteria. Investment performance is not a criterion. Self-completed survey was used for rating. The rating is not related to the quality of the investment advice and is based solely on the disclosed criteria. A2W winners are then ranked into subcategories based on scale, growth and professionalism with each winner being ranked into only one subcategory. The 100 Next Gen ranking is a subcategory of the AdvisorHub 2025 Advisors to Watch rating and does not denote an additional rating. 1974 wealth managers were considered for the rating; 1000 (50.6% of candidates) were named 2025 AdvisorHub Advisors to Watch.
**The use of the CDFA® designation does not permit Wells Fargo Advisors or its Financial Advisors to provide legal advice, nor is it meant to imply that the firm or its associates are acting as experts in the field.
Tammy Mudd, CFP®
Partner and Managing Director, Investments
With over 35 years of experience in the financial services industry, Tammy Mudd brings a deep commitment to personalized wealth management and community engagement. Tammy joined A.G. Edwards in 1998—now Wells Fargo Advisors. Tammy holds the prestigious CFP® designation and leads her team, Generations WMG, a Shore to Summit Wealth Management Partner.
Tammy has consistently been recognized for her excellence in client service and leadership, earning the Five Star Wealth Advisor award (2013-2025) for 13 years and being named to Wells Fargo Advisors’ Platinum Council for six years (2018-2023), an honor reserved for the firm’s top advisors nationwide. Tammy has presented at the DELTA advisors’ group, appeared in a promotional video for DELTA, and spoken on a nationwide call about successful teaming strategies within Wells Fargo Advisors.
In October 2025, Generations WMG is partnering with Shore to Summit Wealth Management, a Wells Fargo Advisors Financial Network practice, expanding their ability to serve clients with even greater flexibility and personalized care.
Tammy and her team specialize in:
- Complex Investment Planning
- Retirement Planning
- Business Retirement Planning (including 401(k) plans)
- Foundation and Endowment Management
- Trust Services*
Her holistic approach combines deep financial expertise with a genuine passion for helping clients achieve their life goals. Beyond her professional achievements, Tammy has dedicated over two decades of active involvement in the St. Charles region. She has served over 20 years on the St. Charles Arts & Culture Commission, 15 years as member of St. Charles Rotary and 8 years on the St. Joseph Hospital Century Club board. In addition, she volunteered for 14 years at the Academy of the Sacred Heart, where she played a key leadership role by chairing the school’s largest annual fundraiser. Her sustained engagement reflects a deep passion for civic enrichment, healthcare, education and the arts.
Away from the office, Tammy resides in St. Charles, Missouri, where she enjoys spending time with family and friends and making cherished memories with her grandchildren—Colton, Landon, Brinley, and Blaire. Her eldest son, Major Christopher Mudd, USMC, lives in the Chicago area, he serves in the USMC Reserves, and is a pilot for American Airlines. Her younger son, Connor Mudd, has followed in her footsteps and works alongside her as her business partner and as a financial advisor. A graduate of Marquette University with a degree in Finance, Connor joined the Generations Wealth Management Group in 2015 and resides in St. Charles.
*Wells Fargo Wealth & Investment Management (WIM) offers financial products and services through affiliates of Wells Fargo & Company. Bank products and services are available through Wells Fargo Bank, N.A. Wells Fargo Trust is a part of WIM and offers services through Wells Fargo Bank, N.A. and Wells Fargo Delaware Trust Company, N.A.
The Platinum Council distinction is held by a select group of Financial Advisors within Wells Fargo Advisors as measured by one or more of the following: completion of educational components, business production from the previous year, and professionalism. Additional consideration may have included best practices and team structure.
The Five Star Wealth Manager award was issued on 10/03/2025 by Five Star Professional (FSP) for the time period 12/25/2024 through 06/02/2025. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. The award is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. 2997 St. Louis-area wealth managers were considered for the award; 176 (6 % of candidates) were named 2025 Five Star Wealth Managers. Visit www.fivestarprofessional.com.
The Five Star Wealth Manager award was issued on 10/1/2024 by Five Star Wealth Professional (FSP) for the time period : 12/12/23 - 7/9/24; 2,685 St. Louis-area wealth managers were considered for the award; , 187 (7% of candidates) were named 2024 Five Star Wealth Managers.
The Five Star Wealth Manager award was issued on 10/01/2023 by Five Star Professional (FSP) for the time period 12/12/2022 through 06/30/23. 2,691 St. Louis-area wealth managers were considered for the award; 167 (6% of candidates) were named 2023 Five Star Wealth Managers.
This award was issued on 10/1/22 by Five Star Professional (FSP) for the time period 01/24/2022 through 07/22/2022. 2418 St. Louis-area wealth managers were considered for the award; 158 (7% of candidates) were named 2022 Five Star Wealth Managers.
This award was issued on 10/1/21 by Five Star Professional (FSP) for the time period 12/28/2020 through 08/6/2021. 2683 St. Louis-area wealth managers were considered for the award; 164 (6% of candidates) were named 2021 Five Star Wealth Managers.
This award was issued on 10/1/20 by Five Star Professional (FSP) for the time period 01/6/2020 through 08/7/2020. 2431 St. Louis-area wealth managers were considered for the award; 170 (7% of candidates) were named 2020 Five Star Wealth Managers.
This award was issued on 10/1/19 by Five Star Professional (FSP) for the time period 01/14/2019 through 08/9/2019. 2481 St. Louis-area wealth managers were considered for the award; 185 (7% of candidates) were named 2019 Five Star Wealth Managers.
This award was issued on 10/1/18 by Five Star Professional (FSP) for the time period 01/26/2018 through 08/15/2018. 2533 St. Louis-area wealth managers were considered for the award; 179 (7% of candidates) were named 2018 Five Star Wealth Managers
This award was issued on 10/1/17 by Five Star Professional (FSP) for the time period 01/26/2017 through 08/28/2017. 1681 St. Louis-area wealth managers were considered for the award; 181 (11% of candidates) were named 2017 Five Star Wealth Managers.
This award was issued on 9/1/16 by Five Star Professional (FSP) for the time period 03/3/2016 through 08/22/2016 1427 St. Louis-area wealth managers were considered for the award; 324 (23% of candidates) were named 2016 Five Star Wealth Managers.
This award was issued on 10/1/15 by Five Star Professional (FSP) for the time period 02/16/2015 through 08/11/2015. 2194 St. Louis-area wealth managers were considered for the award; 358 (16% of candidates) were named 2015 Five Star Wealth Managers.
This award was issued on 2/1/14 by Five Star Professional (FSP) for the time period 02/16/2013 through 08/11/2013. 1401 St. Louis-area wealth managers were considered for the award; 389 (28% of candidates) were named 2014 Five Star Wealth Managers.
This award was issued on 2/1/13 by Five Star Professional (FSP) for the time period 02/16/2012 through 08/11/2012. 1726 St. Louis-area wealth managers were considered for the award; 485 (28% of candidates) were named 2013 Five Star Wealth Managers.
Doug Davis
Partner,
Senior Fundamental Choice Portfolio Manager
[email protected]
Toll Free: (855) 787-9632
Office: (662) 270-0710
Business Mobile & Text: (662) 358-3366
Toll Free: (855) 787-9632
Office: (662) 270-0710
Business Mobile & Text: (662) 358-3366
Doug’s path to owning a financial advisory practice began in college at Mississippi State University. Prior to graduation, he visited a top global investment firm in New York City, ending his memorable week on the floor of the New York Stock Exchange. That opportune trip crystallized Doug’s future business calling … to help families wisely navigate their financial lives over multiple generations.
After working for two decades with leading Wall Street firms in Memphis, TN and Portland, OR, Doug founded Davis Investment Strategies, LLC, in 2010 to offer a more personalized experience for his client relationships. Over his career, Doug has consulted and trained hundreds of financial professionals on ethics-based client relations. He has served as a panelist and guest speaker at industry and sports conferences in fifteen states, and his articles and viewpoints have appeared in national print media. In 2024, Doug merged his practice with Shore to Summit Wealth Management to further leverage collaborative resources and strategic planning for his national clientele.
A gifted communicator and trusted financial steward, Doug conveys an educational clarity that his clients have long appreciated. His main areas of focus are comprehensive investment and retirement planning strategies alongside discretionary portfolio management. Additionally, he serves as an important liaison with estate attorneys and CPAs for his multi-state and multi-generational clients. Doug holds Series 7, 24, 63, 65 securities registrations and life/health insurance licenses.
Among his volunteer involvements, Doug has served active-duty U.S. military families with his son at Camp Malibu (Canada). In the community, he has assisted on church finance, endowment, and stewardship committees and has also coached youth football, basketball, and Little League baseball. Doug has participated in college student-athlete mentorship events and has been a youth Sunday School teacher and small group couple’s leader. A former Bulldog tennis letterman, Doug is the current Vice President of the Mississippi State “M” Club and serves on the Board of Directors for the Mississippi Sports Hall of Fame and Museum in Jackson, MS.
After 27 years in Oregon, Doug and his wife, Jennifer, reside in the college town of Starkville, Mississippi. They have two grown children in Texas and North Carolina, plus, a mini-golden doodle at home. Away from the office, Doug is active in his church and enjoys attending Mississippi State sporting events, traveling, photography, and working on his golf game.
Joe Aley
Partner, Senior Fundamental Choice Portfolio Manager
Joe Aley joins Shore to Summit Wealth Management with 22 years of experience, Joe Aley is a trusted financial advisor dedicated to helping individuals, business owners, and families achieve their goals through customized financial strategies while specializing in retirement planning and tax-efficient investment management.
Holding a BA in Finance from the University of Alaska-Anchorage, Joe’s diverse background includes construction and operations on the Arctic Ocean and owning a tourism business on Alaska’s Kenai Peninsula.
After relocating to Portland in 2002, he began his advisory career at RBC Dain Rauscher and founded Aley Wealth Management in 2007 with what is now Wells Fargo Advisors Financial Network. In October 2025, Joe merged his practice with Shore to Summit Wealth Management to better serve his national clientele with enhanced resources.
A proud father, Joe cherishes his adult son and daughter thriving locally in their lives and professions. He volunteers in the community, enjoys pets, cycling, camping, traveling, and cheering as a passionate sports fan. For 12 years, he’s managed the Rose City Cardinals Baseball team to multiple city championship games. Recently, Joe embraced Bachata dancing reflecting his love for learning.
Taeya Lauer
Partner
Taeya Lauer has spent her entire career guiding individuals and families through life’s financial complexities. With a passion for planning, she pairs analytical precision with creativity to help clients pursue meaningful goals through customized strategies and thoughtful portfolio design.
With a B.A. in Finance and Decision-Making Sciences from Western Washington University, Taeya began her journey in financial services over three decades ago. Her experience spans key roles at institutions such as Washington Mutual Bank, Murphey Favre, D.A. Davidson & Co., and E.K. Riley Investments. In 2018, she founded Pacific Coast Financial Services, Inc., as CEO & Financial Advisor.
In September 2025, Taeya will take the next step in her professional journey by joining Shore to Summit Wealth Management, a Wells Fargo Advisors Financial Network practice. She looks forward to collaborating with a team that shares her values of client-focused service, innovation, and continuous learning.
At the heart of Taeya’s work is a deep respect for the uniqueness of each client’s story. She thrives on the challenge of developing creative, tailored solutions and finds motivation in tracking measurable progress toward long-term financial success.
When she’s not advising clients, Taeya is focused on her greatest role: being a mom to her son and daughter. Her personal life is just as dynamic as her career—from running and racing in triathlons to hiking, kayaking, surfing, and adventuring across the Pacific Northwest with her family and dogs. In quieter moments, she enjoys reading, yoga, and travel—and is always ready to say yes to her next adventure.
Mark Serrian
Partner
Mark Serrian joins Shore to Summit Wealth Management as a Financial Advisor based in Minersville, Pennsylvania. With more than 35 years of experience in the financial services industry, Mark specializes in helping clients align their unique goals, values, and needs through holistic investment planning and investment strategies.
He offers a comprehensive suite of services, including investment planning, portfolio management for individuals, families, and businesses, pension consulting, and adviser selection. Mark holds FINRA Series 9, 10, 63 and 65 certifications, underscoring his commitment to maintaining the highest standards of professional knowledge and ethics.
Through an in-depth discovery process, Mark develops a true understanding of each client’s situation, time horizon, and risk tolerance. He focuses on growing and protecting the wealth of high-net-worth individuals, families, corporate executives, and business owners. Leveraging the extensive resources and leadership of Shore to Summit Wealth Management and the Wells Fargo Advisors Financial Network [WFAFN], Mark provides clients with the strategies and guidance needed to pursue their long-term goals and address complex financial challenges.
Mark lives in Pottsville, PA with his wife, and he has two kids 25 and 16. Mark enjoys church, time with family and friends, and football (go Eagles) in his spare time. Mark volunteers his time as a wrestling coach at a local high school.
Christopher K. Hutchinson
Partner
Senior Private Wealth Financial Advisor
Senior Fundamental Choice Portfolio Manager
For over thirty years, Chris has helped Individuals meet their financial needs by developing investment plans around his client’s long-term goals and risk tolerance.
Chris began his career as a financial advisor in Washington, D.C. with A.G. Edwards before moving to the Pittsburgh area where he continued with A.G. Edwards which was subsequently acquired by Wells Fargo Advisors. Over the years, Chris has been recognized as a Five Star Wealth Manager* from 2012-2018 and 2020-2025 as featured in the Pittsburgh Magazine.
Chris earned his undergraduate degree in a multi-disciplinary program from Stanford University where he attended on a full-ride scholarship. After Stanford, Chris returned to his home state of Oregon where he earned a law degree from the University of Oregon Law School and practiced briefly as an attorney. With a move to the nation’s capital and before embarking in the brokerage industry, Chris worked in the public sector at the Food and Drug Administration and on Capitol Hill as a legislative assistant to a U.S. Congressman.
In his free time, Chris enjoys reading, tennis and playing the piano. But his main passion is travel. To date, Chris and his wife, Nancy, have visited over thirty countries with more to come.
Insurance licensed in the following states: CA (Lic. # 0M77647) Resident State: PA
The Five Star Wealth Manager award was issued on June 1, 2025 by Five Star Professional (FSP) for the time period September 18, 2024 through February 28, 2025. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. 1965 Pittsburgh, PA area wealth managers were considered for the award; 211 (11% percent of candidates) were named 2025 Five Star Wealth Managers. Visit www.fivestarprofessional.com.
This award was issued on June 1, 2024 by Five Star Professional (FSP) for the time period September 12, 2023 through March 29, 2024. 1854 Pittsburgh, PA area wealth managers were considered for the award; 231 (13% percent of candidates) were named 2024 Five Star Wealth Managers
This award was issued on 6/1/23 by Five Star Professional (FSP) for the time period 9/12/22 through 3/31/23. 1,818 Pittsburgh-area wealth managers were considered for the award; 233 (13% of candidates) were named 2023 Five Star Wealth Managers.
Award issued on 6/1/2022 by Five Star Professional (FSP) for the time period 9/27/2021 through 3/25/2022. 1779 Pittsburgh-area wealth managers were considered for the award; 252 (14% of candidates) were named Five Star Wealth Managers.
Award issued on 6/1/2021 by Five Star Professional (FSP) for the time period 9/7/2020 through 4/23/2021. 1814 Pittsburgh-area wealth managers were considered for the award; 234 (13% of candidates) were named Five Star Wealth Managers.
Award issued on 6/1/2020 by Five Star Professional (FSP) for the time period 9/16/2019 through 4/10/2020. 1886 Pittsburgh-area wealth managers were considered for the award; (12% of candidates) were named Five Star Wealth Managers.
Award issued on 6/1/2018 by Five Star Professional (FSP) for the time period 9/28/2017 through 4/17/2018. 1653 Pittsburgh-area wealth managers were considered for the award; 227 (14% of candidates) were named Five Star Wealth Managers.
Award issued on 6/1/2017 by Five Star Professional (FSP) for the time period 9/27/2016 through 4/11/2017. 1133 Pittsburgh-area wealth managers were considered for the award; 277 (24% of candidates) were named Five Star Wealth Managers.
Award issued on 5/1/2016 by Five Star Professional (FSP) for the time period 10/7/2015 through 4/19/2016. 1064 Pittsburgh-area wealth managers were considered for the award; 423 (40% of candidates) were named Five Star Wealth Managers.
Award issued on 6/1/2015 by Five Star Professional (FSP) for the time period 10/7/2014 through 4/19/2015. 1494 Pittsburgh-area wealth managers were considered for the award; 442 (30% of candidates) were named Five Star Wealth Managers.
Award issued on 6/1/2014 by Five Star Professional (FSP) for the time period 10/7/2013 through 4/19/2014. 1721 Pittsburgh-area wealth managers were considered for the award; 458 (27% of candidates) were named Five Star Wealth Managers.
Award issued on 6/1/2013 by Five Star Professional (FSP) for the time period 10/7/2012 through 4/19/2013. 1777 Pittsburgh-area wealth managers were considered for the award; 545 (31% of candidates) were named Five Star Wealth Managers.
Award issued on 6/1/2012 by Five Star Professional (FSP) for the time period 10/7/2011 through 4/19/2012. 1863 Pittsburgh-area wealth managers were considered for the award; 493 (26% of candidates) were named Five Star Wealth Managers.
Michael Hilliard
Managing Director
Michael joined Shore to Summit Wealth Management, LLC in 2022 after a successful career with Ameriprise Financial that lasted over 28 years. Michael earned his bachelor’s degree from University of Maryland and has earned the CERTIFIED FINANCIAL PLANNER® certification from the Certified Financial Planner Board of Standards, Inc. He also holds the CHARTERED FINANCIAL CONSULTANT™ and CHARTERED LIFE UNDERWRITER™ designations from the American College.
Michael delivers personal attention with a focus on detail and exceptional client service. He incorporates the six areas of wealth management to each individual situation, while customizing it to the individual client.
Michael lives in Severna Park, Maryland with his wife, Kimberly and their three children. He enjoys travel, boating, music, reading, and spending time with friends and family. Michael has been writing fiction most of his life, having penned scores of short stories and three full length action/thriller novels titled The Last Patriot, The Island Hopper, and No Safe Place. His writing has attracted the attention of Oprah Winfrey and James Patterson, and in 2015, he was in the top ten out of thousands for Mr. Patterson’s co-author contest.
Jim Hilliard
Managing Director
Jim Hilliard affiliated with Shore to Summit in March of 2023, with 25+ years of experience in the industry. Early in his career, Jim found joy in providing exceptional client service as well as helping clients work their financial goals and objectives. Jim enjoys the familial aspect of the wealth management industry and working closely with his clients and their unique family dynamics. Jim ’s brother, Managing Director, Michael Hilliard, also works for Shore to Summit and the two brothers enjoy building a true family business.
He has been married to his wife, Carrie, for over 26 years and they have loved raising their two children in Severna Park. They enjoy being empty nesters and seeing their kids thrive in college and enter the professional world. In his spare time, Jim enjoys traveling and playing golf with clients and friends alike. Jim has resided in Severna Park since the early 80s and graduated from The University of Maryland College Park.
Lynn Van Moppes
Partner
Senior Financial Advisor
Lynn Van Moppes brings 3 decades of experience as a financial advisor to her new team at Shore to Summit Wealth Management, an independent wealth management practice, affiliated with Wells Fargo Advisors Financial Network.
Shortly after graduating from Seattle University, Lynn began her career in 1997, partnering with a large and reputable senior financial advisory team. Throughout this 10-year partnership, Lynn began to build her practice through client relationships grounded in trust. With a deep commitment to tailoring client needs, successfully managing their investment portfolios, Lynn has a genuine dedication to her clients’ financial lives. In addition to customizing and managing their investment portfolios, Lynn helps clients navigate their overall financial choices with confidence. Often sharing time with client's estate attorneys and CPAs, Lynn believes that exceptional financial guidance goes beyond investment management and requires understanding each client's unique goals, values, and vision for their future. With her commitment to the white glove service being a hallmark of her practice it was the catalyst in her decision to work with Shore to Summit. Shore to Summit has successfully built a top tier boutique wealth management group, along with an industry premier client service team focused on supporting the deep alliance between the client and their advisor.
As a Pacific Northwest native, Lynn lives in Kenmore, Washington with her daughter and husband, Jimmy, a Chief Engineer out of Dutch Harbor, AK. Lynn is an avid fan of the Seattle Mariners and Seahawks. In her spare time, she enjoys golf, tennis, and boating the Puget Sound, with an occasional voyage to the San Juan’s on their Ranger Tug.
Jimmy Dunn
Managing Principal
Jimmy Dunn is a Managing Principal with Shore to Summit Wealth Management, bringing more than three decades of industry experience to the practice. Since beginning his financial services career in 1994, Jimmy has dedicated his energy to serving the complex, nuanced needs of affluent individuals, families, and businesses.
He specializes in creating customized, comprehensive wealth management strategies designed to help clients grow, preserve, and efficiently transition their wealth. His areas of expertise include investment planning, strategic asset consolidation, retirement planning—including specialized 401(k) strategies—and proactive portfolio management tailored to each client’s evolving goals.
Prior to joining Shore to Summit Wealth Management, Jimmy spent a decade with Wells Fargo Advisors, where he also served as the Branch Manager of the Annapolis office starting in 2016. In that leadership role, he championed a culture of excellence and integrity, mentoring fellow advisors and elevating the standard of care for clients across the team. He carries this same client-first philosophy and commitment to high-quality guidance into his partnership at Shore to Summit.
Jimmy earned his degree in Political Science from St. Mary’s College of Maryland. He resides in Annapolis with his three daughters, Samantha, Piper, and CJ. Deeply rooted in his local community, Jimmy is actively involved in St. Mary’s Parish and spends his free time coaching youth sports in the Annapolis leagues.
Craig Pirtle
Managing Partner
Head of Growth
Craig Pirtle is a financial services executive and U.S. Army veteran with over two decades of leadership experience across wealth management, asset management, investment banking, and strategic marketing. Throughout his career, he has specialized in driving enterprise growth, leading regional and national market expansions, and designing high-impact business development strategies. Craig holds extensive industry credentials, including FINRA Series 6, 7, 63, and 66 licenses alongside the Securities Industry Essentials (SIE) certification.
Craig's foundational career began with eight years in the U.S. Army, including active-duty service with the 2nd Infantry Division along the Korean Demilitarized Zone (DMZ). He was later stationed at Fort Belvoir, Virginia, where he instructed newly commissioned officers at the U.S. Army Engineer Officer Basic School while transitioning to the active reserves and earning his undergraduate degree. He studied international relations at Kingston University, political science at the University of Southern Maine, and attended the University of New Hampshire.
Following his military service, Craig launched a career in executive leadership within the financial services sector. Over the past two decades, he has held key executive roles including founding and operating Nearside Asset Management Strategies, where he provided specialized business development and strategic consulting services for boutique asset managers. His leadership background also spans senior leadership roles directing branch development across the Mid-Atlantic region, overseeing advisory integration, and leading national market expansions for major financial institutions and board seats for global markets firms. August 2026, Craig will step into his new role as Managing Partner, Head of Growth at Shore to Summit Wealth Management.
Craig resides in Charlottesville, Virginia, with his wife and son. Outside the office, he enjoys following his son’s collegiate football career at the Virginia Military Institute (VMI) and pursuing his passion for Polo.
Sue Johnston
Business Administrator
Sue Johnston serves as Business Administrator at Shore to Summit Wealth Management, LLC where she supports the practice with her expertise in human resources and bookkeeping. With over a decade of experience in these areas, Sue brings a detail-oriented and organized approach to her work.
She is a graduate of the University of Maryland, College Park and began her career in accounting before taking time to raise her family. Returning to the field, Sue has continued to build on her professional strengths with commitment to loyalty and confidentiality-qualities that are essential to both her role and the clients she serves.
In her free time, Sue enjoys spending time with her husband and three children. She walks daily and loves being outdoors, especially at the beach and pool in the summer. She recently has been learning Mahjong and Pickleball.
Sue M. Tompkins
Partner
Senior Financial Advisor
Sue began her career in the financial services industry in 1985 and has spent the past 40 years developing a niche for managing the financial lives of affluent individuals and their families. She strives to serve as one of her clients’ most trusted advisors, providing them with the level of personalized advice, guidance and support they need to succeed.
Prior to establishing her own wealth management practice in 2019, Sue was a Senior Financial Advisor at Merrill Lynch, and she held executive positions as both a Market President for Harris Private Bank, a division of Bank of Montreal, and a Senior Vice President at Barnett Bank/Bank of America. Her expansive professional background includes corporate and personal banking, trust and estate administration, investment management, charitable planning and financial strategy development.
Sue earned a Bachelor of Science degree in Business Administration from the University of Connecticut in 1985. Although she does not provide tax advice in her role at Warren Capital Management, Sue has earned the designation of Certified Public Accountant (CPA). She holds Series 7, Series 66 and Health, Life and Variable Annuities licenses. Sue has also completed graduate and continuing education work in the fields of accounting and financial strategies.
Sue has made Vero Beach, Florida, her home since 1986, where community service has played a pivotal role in her personal life. She has been a chairman and board member of several of the area’s most distinguished non-profit organizations, including the United Way of Indian River County, VNA and Hospice of the Treasure Coast, Impact 100, Indian River Community Foundation, Indian River Golf Foundation, and the Center for Memory and Movement. She is the former president of the Treasure Coast Chapter of the Florida Institute of Certified Public Accountants, and she previously served as a member of both the Planned Giving Council of Indian River County and the Estate Planning Council of Indian River County.