The team at Sheaff Brock offers decades of experience as investment advisors and prides itself on our personalized approach. We don’t just manage your portfolio. We provide you with analysis, educate you about market environments and report on your investment performance. We work to understand your needs, not just when you first come to us, but throughout our relationship.
At Sheaff Brock, our entire team is dedicated to your success.
Our managing directors include Sheaff Brock founders Dave Gilreath and Ron Brock.
As a founding principal of Sheaff Brock Investment Advisors, LLC, Dave shares responsibility for setting investment policy, asset allocation, and security selection for the company's managed accounts. He also consults with the clients of Sheaff Brock on overall portfolio construction.
Dave has more than 25 years of experience in the financial services industry, beginning with Bache Halsey Stuart Shields and later with Morgan Stanley/Dean Witter. Dave is a featured contributor giving money management advice in Market Moves, a monthly investment column for ABCNews.com.
He attended Miami University in Oxford, Ohio where he earned a Bachelor of Science degree. Dave went on to obtain his Certified Financial Planner® (CFP) designation in 1984.
As a founding principal of Sheaff Brock Investment Advisors, LLC, Ron shares responsibility for setting investment policy, asset allocation, and security selection for the company's managed accounts. He also consults with the clients of Sheaff Brock on overall portfolio construction.
Ron has more than 20 years of experience in the financial services industry, starting with Prudential Bache Securities and later with Morgan Stanley/Dean Witter.
He attended the Indiana University School of Business where he earned a Bachelor of Science degree in accounting.
Audrey’s experience includes all aspects of accounting, compliance and financial management, having most recently served as chief operating officer for Wallington Asset Management. In her previous role at Winthrop Capital Management, Audrey designed, developed and implemented the firm’s strategic compliance program. Other experience included corporate finance positions at 40|86 Advisors and Conseco, Inc. in the Indianapolis area and KPMG Peat Marwick in Chicago.
Audrey holds a B.S. in Accounting from Indiana University, Bloomington. A certified public accountant, she holds a FINRA Series 65 license, is a Fellow of the Life Management Institute, and is a member of the American Institute of Certified Public Accountants.
Christy has worked in the financial services industry for more than 20 years, most recently as Operations Manager with a boutique wealth management firm. Responsible for development and implementation of internal client workflows and procedures, Christy also maintained processes to support consistent client service in all aspects of business while overseeing SEC filings for compliance and records maintenance.
At Sheaff Brock, Christy serves as Operations and Compliance Coordinator, working with Compliance to ensure processes are in place for annual audits and implement new procedures as requirements change. Additionally, she will assist Sheaff Brock’s trading department in placing trades for several of the investment advisory’s managed portfolios.
David’s experience includes five years at Charles Schwab, where his most recent role was as a senior derivatives trading specialist on the options trading desk. His background in option strategy building, technical analysis, and trade guidance helps clients manage risk and find new paths of wealth creation and income-building. Prior financial experience includes six years in accounting roles at Conseco Services, LLC, and Bucheri, McCarty & Metz, LLP.
JR’s experience as a financial consultant spans more than 25 years, and he has worked extensively in alternative asset allocations and the creation of equity selection processes to achieve greater quantitative and more disciplined equity selections. Working much of that time as a portfolio manager at BKD Wealth Advisor, JR previously served as a trust investment officer at United National Bank in West Virginia, and as a senior options specialist in the active trader division at Charles Schwab in Indianapolis.
JR holds a Bachelor of Business Administration degree in Finance from Marshall University in Huntington, West Virginia, where he was also a member of Omicron Delta Epsilon, International Honor Society for Economics.
Wally Taggart began his investment career with Paine Webber in 1963, becoming one of the first brokers in Indianapolis to use options and to become a Registered Options Principal with the CBOE. He spent over 30 years as a broker and in branch management with Paine Webber, Dean Witter, and Morgan Stanley. Wally claims he is most famous for being a successful street racer in his father’s Hudson Hornet—on the west side of Chicago in the mid-fifties!
Our client solutions teams have one goal: to work closely with you to meet your financial needs and, as a result, achieve your unsurpassed satisfaction and loyalty. Please feel free to contact any of our client solutions advisors directly.
Peter began his investment advisory career at Charles Schwab as a customer service representative and then as a broker in Indianapolis. He became part of Schwab’s Active Trader specialty team, servicing their most active traders and developing a deep knowledge of options, margin accounts and trading. Peter also served as an Associate Financial Consultant at the branch level in Illinois before joining Sheaff Brock.
Seth has many years of experience in commodities futures and options, equity-based derivatives, and high net-worth trading, where he accumulated skills both in working directly with clients and as a manager—assisting and guiding small, dedicated teams in complex trading issues.
Prior to joining Sheaff Brock, Seth was a Senior High Net Worth Active Trading Specialist at Charles Schwab and a Senior Derivatives Trading Manager at Schwab and optionsXpress. He assisted with the integration of optionsXpress into the Schwab enterprise, as well as the launch of Schwab Futures. Previously, Seth was a Commodity Futures and Options Broker with LaSalle Futures Group in Chicago.
While pursuing his B.S. degree in Finance and Economics at Ball State University, Seth led a student team managing a $500,000 small and large cap equity portfolio for the Ball State University Endowment.
Louie is an experienced financial services professional with an intricate knowledge of options, margin and advanced trading strategies. As a trading and IPO specialist at Charles Schwab & Company, he provided proactive account service to help his clients achieve their financial solutions and retirement goals. Prior experience in retail management developed his focus on strong customer service.
Louie works with Sheaff Brock clients to help them achieve their investment goals, with support from Administrative Coordinator Susan Williams.
Teri began her career at Prudential Securities in 1989 and moved to Morgan Stanley/Dean Witter in 1990. Beginning as a registered sales assistant, Teri later moved into the role of account executive, where she gained experience and enjoyment in equity options.
Teri handles the onboarding process of new accounts at Sheaff Brock and maintains the ongoing administrative functions of client accounts for portfolio consultant Chris Crisci.
Jared began his career at Charles Schwab & Co. as a customer service representative and worked as a registered representative before joining Schwab’s leadership as a regional team manager. With experience in supervision, trading, portfolio diversification, and wealth management strategies, Jared strives to support his clients and other professionals in achieving their goals.
Jared attended Midland College in Midland, Texas, and also spent a year traveling in “Up With People,” where he visited more than 13 countries, worked with individuals from over 131 different countries, and developed multi-cultural leadership skills.
Deb is responsible for portfolio administration, reconciliation of accounts, and general office functions. With more than 20 years in the financial services industry, Deb began in operations with E.F. Hutton, and later moved to Morgan Stanley/Dean Witter as an assistant. Prior to joining Sheaff Brock, Deb was most recently with Star Wealth Management.
Jenny has a wide range of administrative support and sales experience within a variety of industries, including serving as branch office administrator for Edward Jones in Jackson, Minnesota. She was most recently with Wallington Asset Management in Indianapolis, Indiana, where she provided administrative assistance and support to client services, personnel, marketing and compliance.
Michelle is an experienced professional with ten-plus years of financial experience in trading, relationship building, and partnering with clients to achieve their financial goals. She comes to Sheaff Brock from Charles Schwab, where she worked in leadership as a Learning Manager training stock brokers and guiding new employees through the intricacies of the financial world. Her prior work experience includes her role as a Public Relations Specialist with the Indiana Bureau of Motor Vehicles and five years in the elementary education field.
After gaining lending and banking experience with HSBC, Union Equity Corporation and Homeland Mortgage, Mark worked at Charles Schwab providing investment services, support and guidance to high net worth clients. His in-depth knowledge of investor tools and research allowed him to identify wealth management needs and solutions, and also offer technical analysis and trading guidance, earning several customer service awards.
Mark serves as Portfolio Consultant for Sheaff Brock clients, with administrative support from Michael Richardt.
Susan brings 20-plus years of client service experience to the Sheaff Brock Client Solutions Team and provides administrative support for portfolio consultants David Chapin and James Humphries.
Shannon gained experience as a loan underwriter/credit analyst at Wells Fargo prior to joining Sheaff Brock as a research and statistics administrator.
Originally from northern Virginia, Shannon graduated from the University of New Mexico in 2014 with double majors in Economics and Anthropology. While at UNM, she was the President and Founding Member of Omicron Delta Epsilon (an Economics Honor Society) and Vice President of the Game Theory Association.
With a breadth of experience in the financial services industry, our sales team members are focused on first understanding your needs and then working toward investment performance solutions to meet your goals. Feel free to contact any sales team member directly for more information.
With more than 25 years in the financial services industry, Jim has extensive experience in wealth management and portfolio consulting for high net worth clients. His background includes several years in organizational leadership, including regional and national wholesale distribution management, as well as financial consulting. His strength is in helping others—whether clients, peers, or colleagues—achieve their desired outcomes.
Prior to joining Sheaff Brock as head of the investment team, Jim led more than 100 investment professionals while also handling oversight of client assets at Schwab Private Client Investment Advisory, a wholly-owned subsidiary of Charles Schwab and Company. He previously was responsible for strategic direction as Senior VP and National Sales Manager of Alternative Distribution for ING Investment Management. He also held positions as Regional Vice President for MFS Mutual Funds, and as Financial Consultant for Fidelity Investments.
Wendy has more than 14 years of experience in financial planning and investment management for both individual and institutional clients. Her focus has been helping high net worth individuals with investment management, financial analysis, risk management, tax planning, retirement planning, estate planning, insurance, employee benefits and stock option plans. She also assisted some of the largest non-profit employers in Silicon Valley with retirement benefit plans, employee education, and executive compensation.
Christy spent the decade of the nineties in Chicago on the sales and marketing side of the mutual fund and managed account industry. She worked with Paine Webber/Mitchell Hutchins, the Munder Funds, and Duff & Phelps before "retiring" to raise a family.
Jim worked for the Indiana Secretary of State in the Securities Division prior to joining Morgan Stanley/Dean Witter in 1986.
While at Morgan Stanley/Dean Witter, Jim developed his own successful investment style and philosophy, and went on to achieve the title of Senior Vice-President of Investments. Jim graduated from Manchester College in 1982, where he earned an accounting degree.
Paul has extensive industry experience in helping individual investors. He began his career in the 1980’s at Schwab, where he advanced through the ranks during twenty years to become Regional Vice President. Subsequently he served in management roles at Raymond James and Ameriprise.
Paul grew up in the Philadelphia area, now resides in New Jersey, and assists Sheaff Brock with our national sales efforts. He earned a B.A. from Temple University.
Prior to joining Sheaff Brock, Ben was Vice President for EP Wealth Advisors and a consultant for Charles Schwab and Company, working with business development, client review, analysis and recommendations for high net worth individuals. Ben graduated from The Master’s College and is a candidate for Certified Financial Planning designation.
Although fairly new to the investment industry, Libby brings a wealth of experience to Sheaff Brock. Prior to taking a few years “off” to raise a family, Libby spent more than a decade at the Indianapolis Motor Speedway in various positions. Most recently she was the Special Events Coordinator for all facets of events, meetings, seminars and receptions including those surrounding the Indianapolis 500, Brickyard 400, Formula One, and Moto GP races. At Sheaff Brock, Libby is responsible for the handling and processing of all paperwork required to open new customer accounts. She also provides support for the Sheaff Brock sales team.
Michelle joins Sheaff Brock with more than 25 years of experience in the health insurance industry, where she served in a variety of roles with Prudential Insurance Company and The Principal Financial Group. Her wide-ranging experience includes HR recruiting, reinsurance analyst work, health care predeterminations and claims review, and account service support. At Sheaff Brock, Michelle is responsible for the handling and processing of all paperwork necessary to open new customer accounts and supporting the sales team.
Angie is responsible for overseeing all office functions, reconciliation of accounts, and operations functions. Angie has been involved in the financial services industry for more than 15 years, working in banking, operations with Paine Webber and, most recently, as an administrative assistant with Morgan Stanley/Dean Witter.
As a client service specialist for Charles Schwab, Kat provided client service and support by uncovering client needs and providing education about accounts, product offerings and procedures. After moving to the estate distributions team, she took on a supervisory role involving quality assurance, training, and cashiering supervision. At Sheaff Brock, Kat is responsible for marketing and operations.
Sheldon worked as a Certified Public Accountant (CPA) for more than 20 years, with eleven of those in public accounting and several more as an independent business owner. Having served as an independent controller and consultant for several small businesses, Sheldon handles the day-to-day financial aspects of business at Sheaff Brock.