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Professional Education & Experience
At Legacy Wealth Management, we are dedicated to professional ethics and high professional standards. As a client of our firm, you will receive the benefit of working with CERTIFIED FINANCIAL PLANNER™ practitioners, Chartered Financial Analysts, a Chartered Alternative Investment Analyst, a Certificant in Investment Performance Management, a Certified Public Accountant, Chartered Life Underwriters, a Certified Trust and Financial Advisor, a Certified Divorce Financial Analyst and a Juris Doctor.
Almost all of our our client service professionals have the CFP® certification and most have postgraduate degrees. Our staff is focused on ensuring that each client receives the highest level of service based on their unique financial planning and portfolio management needs.
Since 1982, Legacy Wealth Management's approach to financial planning and portfolio management comes from experience and knowledge as an independent registered investment advisory firm.
John W. Ueleke, CFP®
CEO
John founded Legacy Wealth Management in 1982 because he saw a need for objective, fee-based comprehensive financial planning. John serves as CEO, oversees all financial planning services for the firm, is a member of Legacy Wealth Management’s Board of Directors, and is a member of the Investment Committee. His experience includes over 30 years of investment and personal financial management experience, in addition to seven years of management and lending at First Tennessee Bank.
John received his CFP® practitioner designation in 1986 and also holds the designations of Chartered Financial Consultant (ChFC) and Chartered Life Underwriter (CLU®). He was named to Worth magazine’s list of the nation’s top advisors for the tenth time since 1997. In November 2009 he was also named for the fifth time to Medical Economics magazine's list of "The 150 best financial advisors for doctors" in the nation. Other accolades include being featured in "The Nation’s Most Powerful Financial Planners" by Barron’s magazine and as one of the "150 Best Advisors" by Mutual Funds magazine. He served as Chairman of the Board of Governors of the Community Foundation of Greater Memphis where he chaired the Investment Committee for seven years. He is a charter member of the Rotary Club of Memphis-East where he chairs their foundation and is on the Executive Board of the Chickasaw Council of Boy Scouts. John is a member of the Alpha Group, the premier professional study group of independent financial advisors. His professional memberships include the Financial Planning Association, the National Committee on Planned Giving, the Planned Giving Council of Greater Memphis, and the Estate Planning Council of Memphis, where he is currently serving as vice president and board member. John has served in top leadership positions in several of these organizations over the years. He earned his M.B.A. in Finance from Indiana University and a B.S. from Southeast Missouri State University, where he received the Alumni Merit Award in October, 2008.
James J. Isaacs, CFP®
President
Jim was a client for three years before joining Legacy Wealth Management in 2004 as their Chief Operations Officer to add operational expertise to the growing financial planning and portfolio management firm. As President, Jim is responsible for all aspects of client service from comprehensive financial planning to portfolio management. Jim chairs the Investment Committee which reviews and implements the firm's overall investment strategies. In addition, he is responsible for the operations of the firm including financial, administrative and custodial areas. Jim is a member of Legacy Wealth Management’s Board of Directors and the following committees: Investment, Financial Planning, Operations, and Best Execution & Best Custody. He has over 20 years of executive experience in finance and business operations. Jim has extensive experience in development and re-engineering of complex business processes and organizations to provide superior levels of quality client service.
Jim has served as Vice President of North American & European Operations for Herbalife International and Vice President of Supply Chain Operations for Benchmark Brands, a privately held catalog and Internet retail company. Previously, he was a Director of Customer Support and Distribution for Schering-Plough HealthCare Products Corporation in Memphis. Jim is a member of Vistage International, which is the world's foremost chief executive leadership organization. He is President of the River Oaks (neighborhood) Association and a member of the Economics Club of Memphis. Jim received his CFP® certification in 2008. Jim was named a FIVE STAR Wealth ManagerSM for 2010 by Memphis Magazine. He received his M.B.A. in Finance from Seton Hall University and a B.A. from Ithaca College.
Steven Holdsworth, CFP®
Director Client Services & Financial Planning
 Steve is in charge of one of the firm’s three client services teams. He is also responsible for assisting new and existing clients with financial planning and portfolio management needs. In addition, Steve is the liaison to Fidelity Investments, one of the firm’s custodians. He is a member of Legacy Wealth Management's Board of Directors, Investment Committee, and Best Execution and Best Custody Committee. Steve chairs both the Financial Planning and Trust Committees.
Steve joined Legacy Wealth Management in 2000 from Fidelity Investments where he served as a financial representative for seven years. He received his CFP® certification in 2000 and his Chartered Life Underwriter (CLU®) designation in 2006. Steve is an adjunct faculty member at Christian Brothers University, teaching the Fundamentals of Financial Planning & Insurance Planning and Capstone Cases in Financial Planning courses for Kaplan Financial’s Certificate in Financial Planning Program. He was recognized as one of five influential leaders in the profession in 2010 by Financial Planning magazines – “Movers and Shakers 2010” (January, 2010) and he was named in 2010 as a FIVE STAR Wealth ManagerSM Memphis Magazine. Steve has been quoted in Financial Planning, Investment News, and TodaysAdvisor.com. He is a member of the Financial Planning Association, FPA Mid-South, FPA MPACT, Estate Planning Council of Memphis, the National Committee on Planned Giving, the Planned Giving Council of Greater Memphis, and the Society of Financial Service Professionals. Steve is currently serving on the FPA Mid-South Board as Membership Director. He Co-Founded and is serving as President of FPA MPACT, which is the Mid-Profession and Career Transition Community of Interest within the Financial Planning Association. Steve is a member of the FPA Journal of Financial Planning magazines Advisory Board for 2009 and 2010, and a member of National Advisors Trust Co.’s - Trust Advisory Team. He was the Co-Chair of the 2009 FPA NexGen National Conference Task Force. He served as Secretary for the FPA NexGen Group during 2007 and 2008. Steve is serving as Treasurer and a member of the board for Randle Woods Homeowners Association. Steve received his M.B.A. specializing in Financial and Estate Planning from The University of Dallas and B.B.A. in Finance from The University of Texas at Arlington.
Hallie Peyton, CFP®
Director Client Services & Business Development
Hallie is in charge of one of the firm's three client services teams and is a member of Legacy Wealth Mangement's Board of Directors. She is also responsible for assisting new and existing clients with financial planning and portfolio management needs. In addition, Hallie is the firm's liaison for the referral programs of Charles Schwab & Co. and Fidelity Investments.
Hallie joined Legacy Wealth Management in 1999 from National Commerce Bank Services (NCBS) where she served as First Vice President for five years. Prior to her position at NCBS, Hallie spent six years managing retail branches for National Bank of Commerce. She is a member of the Board of Trustees of St. Mary's Episcopal School and a member of the Memphis Rotary Club. She serves as a member of the Endowment Committee of St. Mary’s Episcopal School and the Finance Committee of Grace St. Luke's Episcopal Church. Hallie received her CFP® certification in 2003 and is a member of the Financial Planning Association. Hallie was named 2010 as a FIVE STAR Wealth ManagerSM Memphis Magazine. She received her B.A. from Centre College of Kentucky.
Cathy Simmons, CFP®
Director Client Services
Chief Compliance Officer
Cathy is in charge of one of the firm’s three client services teams and is a member of Legacy Wealth Management’s Board of Directors. She is also responsible for assisting new and existing clients with financial planning and portfolio management needs.
In addition, as Chief Compliance Officer, Cathy plans, executes and implements the firm's compliance processes and procedures and serves as Chair of the Compliance Committee. She also serves as Proxy Officer for the firm and as the firm's BCP coordinator.
Cathy joined Legacy Wealth Management in 2000 after spending nine years as a financial advisor with American Express, Inc. At American Express, she worked with over 400 clients and consistently received awards for client satisfaction and quality advice. Cathy received her CFP® certification in 2000 and is a member of the Financial Planning Association, Estate Planning Council of Memphis, National Committee on Planned Giving, Planned Giving Council of Greater Memphis and Mid-South Association of Contingency Planners. She is also a member of The Nazrudin Project, a national think-tank for financial professionals who meet semi-annually to discuss the psychology of money. She is an adjunct faculty member at Christian Brothers University teaching Fundamentals of Financial Planning & Insurance Planning and Capstone Cases in Financial Planning courses for Kaplan Financial's Certificate in Financial Planning Program. Cathy is a member of the Investment Advisor Association's Government Relations Committee out of Washington DC. Cathy is a member of the Board of the Center City Commission Downtown Parking Authority and serves as Treasurer and is also a member of the Center City Commission Budget and Finance Committee. Cathy is Chairperson of the National Advisors Trust Compliance Study Group. Cathy is a 2007 graduate of the Leadership Memphis Executive Program Class. Cathy is currently pursuing the Investment Advisor Certified Compliance ProfessionalSM designation. Cathy has been quoted in IA Week and the Investment Advisor Association Newsletter. Cathy was selected to the 50 Top Women in Wealth for 2010 by Wealth Manager Magazine. She received both her M.B.A. and B.S. in Business from the University of Memphis.
Hall Gardner, CFA, CPA
Director of Investments
Hall is a member of the Investment Committee which reviews and implements the firm's overall investment strategies and is a member of Legacy Wealth Management's Board of Directors. He has oversight of the company’s portfolio accounting, trading and rebalancing software. Hall also works closely with the team portfolio managers to communicate relevant information regarding investment strategies and implementation.
Hall joined Legacy Wealth Management in 2004 after spending five years in public accounting, gaining experience in audit, tax and business valuation. He is a member of the CFA Institute, American Institute of Certified Public Accountants and the Tennessee Society of CFAs. He serves on finance committees for Metropolitan Inter-Faith Association (MIFA) and Calvary Episcopal Church. He received his CFA® designation in 2007 and his CPA certification in 1998. He received his B.A. from the University of Alabama, Birmingham.
Bill Overcast, CFP®
Director of Financial Planning
Bill is a member of Cathy Simmons’ client services team. He develops financial plans for the team and is responsible for delivering financial plans to new and existing clients. He is a member of the firm’s Financial Planning Committee.
Bill joined Legacy Wealth Management in 2008 and was previously with Overcast Financial Planning for over 10 years where he did extensive hourly planning work for more than 100 clients. Prior to going out on his own, Bill spent 20 highly accomplished years in the Banking Industry with the last eight years at Enterprise National Bank as Vice President of Commercial Lending/Private Banking. Bill received his CFP® certification in 1998. Bill was named 2010 as a FIVE STAR Wealth ManagerSM Memphis Magazine. He received his B.B.A. in Accounting from the University of Mississippi.
Patricia B. Stringer, CFP®
Director of Financial Planning
Patty is a member of Hallie Peyton's client services team. She develops financial plans for the team and is responsible for delivering financial plans to new and existing clients. She is a member of the firm’s Financial Planning Committee and Operations Committee.
Patty joined Legacy Wealth Management in 2008 after serving as Chief Financial Officer at Heritage Capital Advisors, LLC. In addition, Patty was a founding officer at 6800 Capital Corporation and Stringer Services Company, Inc. and held positions at The Roy E. Winegardner Companies. Patty received her CFP® certification in 2008 and is a member of the Financial Planning Association and the Society of Financial Service Professionals. She has taught as an adjunct professor at the University of Memphis, both in Entrepreneurship and Management. Patty received both her M.B.A. and B.B.A. in Finance from the University of Memphis.
Dr. Robert Trimm, CFA, CIPM
Director of Research
 Robert is a key member of the Investment Committee which reviews and implements the firm’s overall investment strategies. As Director of Research, he leads the investment department in the investigation of products ranging from mutual funds, exchange traded funds, separate account managers and alternative investments. Robert also develops market forecasts used to make strategic and tactical portfolio changes.
Robert joined Legacy Wealth Management in 2008 after spending six years with the Navy Installations Command in Millington, TN, managing the organization’s fixed income investment portfolio, and as an investment advisor to the organization’s retirement trust. Robert has taught classes in finance and investments for the University of Mississippi and courses in financial management for Rhodes College. Robert received his CFA® designation in 2001 and is a member of the CFA Institute. In 2009, Robert earned the Certificate in Investment Performance Measurement (CIPM) designation from the CFA Institute. Robert is a member of the Economic Club of Memphis and is on the Board of the local CFA Society. He received his Ph.D. and M.A. in Economics from the University of Mississippi, Oxford and his B.A. in Economics & Finance from the University of North Alabama, Florence.
Shelly H. Baker, CFP®, CDFATM
Portfolio Manager
Shelly is a Portfolio Manager and a member of Hallie Peyton’s client services team. As a Portfolio Manager, she is responsible for the management of her team’s portfolios by reviewing clients’ goals and objectives and implementing investment strategies. She is a member of Legacy’s Investment Committee, which reviews and implements the firm’s overall investment strategies.
Shelly joined Legacy Wealth Management in 2009 after spending 4 years in a similar role at wealth manager Waddell & Associates, Inc. In addition, she spent 13 years at Morgan Keegan as a NASDAQ Principal Trader and Financial Planner. Shelly received her CFP® and Certified Divorce Financial Analyst (CDFA™) certifications in 2006. She received her B.B.A. from the University of Memphis and is currently pursuing her Certified Trust and Financial Advisor (CTFA) certification.
Chris Hitching
Portfolio Manager
Chris is a Portfolio Manager and a member of Cathy Simmons’ client services team. As a Portfolio Manager, he is responsible for the management of his team’s portfolios by reviewing clients’ goals and objectives and implementing investment strategies. Chris is a member of Legacy’s Investment Committee, which reviews and implements the firm’s overall investment strategies.
Chris joined Legacy Wealth Management in 2010 after 6 years with First Mercantile Trust, where he served as an Institutional Investment Analyst. Chris has over 13 years in the financial services industry including time at Morgan Keegan and Merrill Lynch. He has completed the CFP® curriculum at Christian Brothers University and he is a candidate for the CFP® certification. He received his B.S. in Finance from Christian Brothers University.
Duncan Miller, CFP®, CAIA
Portfolio Manager
Duncan is a Portfolio Manager and a member of Steve Holdsworth’s client services team and is a member of Legacy Wealth Mangement's Board of Directors. As a Portfolio Manager, he is responsible for the management of his team’s portfolios by reviewing clients’ goals and objectives and implementing investment strategies. Duncan is a member of Legacy’s Investment Committee, which reviews and implements the firm’s overall investment strategies, and he chairs its Best Execution and Best Custody Committee.
Duncan joined Legacy Wealth Management in 2000 from First Tennessee Bank, where he served as a Vice President in the Financial Institutions Division. He received his CFP® certification in 2003. Duncan Received his Chartered Alternative Investment Analyst designation in 2008. He is a member of the Gateway Group, a study group representing 16 firms from around the nation who meet semi-annually to review the state of the economy and analyze leading-edge investment strategies. Duncan was named 2010 as a FIVE STAR Wealth ManagerSM Memphis Magazine. He received his M.A. from Boston College and a B.A. from Washington and Lee University.
Rob Sievers, CFP®
Portfolio Manager
Rob is a Portfolio Manager and a member of Steve Holdsworth’s client services team. As a Portfolio Manager, he is responsible for the management of his team’s portfolios by reviewing clients’ goals and objectives and implementing investment strategies. Rob participates in the meetings held by Legacy’s Investment Committee, which reviews and implements the firm’s overall investment strategies. Rob is also a member of the Compliance Committee.
Rob joined Legacy Wealth Management in 2007 after spending seven years with Charles Schwab & Co. as a Relationship Specialist working with high-profile advisors. He received his CFP® certification in 2009. Rob received his M.B.A. from Arizona State University and a B.S. in Finance from the University of Tennessee.
Lindsey B. Mazzola, CFP®
Client Services Manager
Lindsey is a member of Cathy Simmons’ client services team. She develops financial plans for her team, and is responsible for developing and executing client service policies and procedures. She is a member of the firm’s Trust Committee, Financial Planning Committee, and Operations Committee.
Lindsey joined Legacy Wealth Management in 2004 and has served in several capacities including Financial Analyst, supporting the Investment Committee by screening mutual funds and analyzing other investment alternatives and Portfolio Manager for the Blue Team. Her interest in the financial planning process and desire to broaden her professional scope led her to take on the role of Client Service Manager. Lindsey received her CFP® certification in 2007. She received her B.B.A. in Finance from the University of Memphis and her M.B.A in Finance from Christian Brothers University. Deborah Wilson McVeigh, CFP®
Client Services Manager
Deborah is a member of Steve Holdsworth’s client service team. She develops financial plans for her team and is the liaison to TIAA-CREF, one of the firm’s custodians. She is a member of the firm’s Trust Committee, Financial Planning Committee and Operations Committee. She plays a key role in the development and ongoing improvement of the firm’s paperless Client Management System, and lends her expertise in the development and execution of client service policies and procedures.
Deborah joined Legacy Wealth Management in 1991 after spending six years reviewing and analyzing personal income taxes with the Internal Revenue Service and in the private sector. She received her Certified Trust and Financial Advisor (CTFA) certification in 2009, her CFP® certification in 2006 and Registered Paraplanner™ designation in 1999. Deborah was named 2010 as a FIVE STAR Wealth ManagerSM Memphis Magazine. Deborah is an alumna of the University of Memphis and a member of the Financial Planning Association.
David Metzger, CFP®
Client Services Manager
David is a member of Steve Holdsworth’s client services team. He develops financial plans for his team and is the operational contact to Fidelity Investments, one of the firm’s custodians. He is chair of the firm's Operations Committee and lends his expertise in the development and execution of client services policies and procedures. He is also a member of the Financial Planning Committee.
David joined Legacy Wealth Management in 2006 from Zacks Investment Management, where he was the Director of Financial Planning. Previously, he was with Northwestern Mutual Financial Network as a Financial Representative where he became an expert in insurance. David received his CFP® certification in 2005 and is a member of the Financial Planning Association. He also holds the following designations: Chartered Life Underwriter (CLU®), Chartered Financial Consultant (ChFC®) and Chartered Advisor for Senior Living (CASL®). He received his M.B.A. in Management and his B.S. with a double major in Finance and International Business from Oklahoma State University. David is a Level III candidate in the Chartered Financial Analys® program.
Rebecca J. Rawlinson, CFP®
Client Services Manager
Rebecca is a member of Cathy Simmons’ client services team. She develops financial plans for her team and is responsible for developing and executing client services policies and procedures. She is a member of the firm's Financial Planning Committee and Operations Committee.
Rebecca joined Legacy Wealth Management in 2007 and was previously with Pathway Financial Services, where she developed financial plans and performed administrative duties. Rebecca received her CFP® certification in 2007. She received her B.B.A. in Accounting from the University of Memphis.
Brienne Smith, CFP®
Client Services Manager
 Brienne is a member of Hallie Peyton's client services team. She develops financial plans for her team, and is responsible for developing and executing client services policies and procedures. She is a member of the firm’s Financial Planning Committee and Operations Committee.
Brienne joined Legacy Wealth Management in 2008 and was previously with William Howard & Company Financial Advisors, Inc., where she prepared financial plans and performed various retirement, education and insurance analyses and capital projections for clients. Brienne received her CFP® certification in 2008. Brienne is a member of the Junior League of Memphis and 2010 graduate of the Leadership Memphis Fast Track Program Class. She received both her M.B.A. and B.A. in Finance from the University of Memphis.
Joseph Dyal, J.D., CFP®
Estate Planning Advisor
Joseph is a member of Steve Holdsworth’s client services team. However, given his legal and estate planning knowledge, Joseph works closely with all three client service teams reviewing, monitoring, and advising clients in regard to their estate planning needs. He is a member of the Trust Committee and the Financial Planning Committee. He also develops comprehensive financial plans for new and existing clients, and is responsible for executing client services policies and procedures.
Joseph joined Legacy Wealth Management in 2007 after completing an internship in 2006. He was previously with PrimeWest Mortgage Co., where he was an Investor Accountant. He received his CFP® certification in 2010. Joseph received both his M.S. in Personal Financial Planning and his Juris Doctor from Texas Tech University and a B.B.A. in Finance from Texas A&M University.
Melissa Still
Sr. Financial Analyst
 Melissa is one of the firm’s financial analysts supporting our investment activities. She focuses on the management of our investment database and is our expert in the processes of downloading custodial data into our industry-recognized Portfolio Management system. She is a member of the firm’s Operations Committee and is responsible for generating quarterly client portfolio reports.
Melissa joined Legacy Wealth Management in 1995. She is currently serving as a National Officer for Zeta Tau Alpha Fraternity. She is also the membership advisor for the Iota Xi chapter of Zeta Tau Alpha at Christian Brothers University. She is currently serving as an elder at Farmington Presbyterian Church. She received her B.S. in Business from the University of Tennessee, Knoxville.
Howard C. Daves
Controller
Howard (Buddy) is the firm’s Controller and is responsible for all back-office financial activities. He coordinates the firm’s human resources activities and numerous operations activities. He is a member of the firm’s Compliance Committee, the Best Execution and Best Custody Committee and the Operations Committee.
Buddy joined Legacy Wealth Management in 2005 after spending two years with the Spencer Reed Group, LLC, as an Executive Recruiter. He previously was the Branch Manager for Ajilon Finance, the Accounting Manager for Habco Steel Services, Inc. and the Accounting Manager for Lazarov Brothers. He received his B.B.A. in Accounting from the University of Memphis.
 Alan is the firm’s Information Technology expert and is responsible for all internal and external network activities, as well as support of the various software programs that the firm uses. Alan manages the firm’s paperless Client Management System environment and strictly controls the input and categorization of stored documents. He is a member of the firm’s Operations Committee.
Alan joined Legacy Wealth Management in 1998. He received his A.A.S. with a double major in Information Technology Networking and Information Technology Generalist from Southwest Tennessee Community College.
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