UPSTATE LEGACY PLANNING GROUP - Key Persons

Job Titles:

• Co - Founder and Private Wealth Advisor

Brett Smith MBA, CFP© is one of Northwestern Mutual's experienced advisors and is a Co-Founder and Private Wealth Advisor of Upstate Legacy Planning Group. As a Business and Estate Planning Specialist, Top 50 Northwestern Mutual Fee-Based Planner, and CERTIFIED FINANCIAL PLANNER ™ professional, Brett predominantly works with high-income/net-worth individuals and business owners desiring comprehensive financial planning and advisory services to grow/steward assets for themselves and/or future generations. Since 2012, Brett has been helping professionals and families realize their dreams by helping them make great decisions with their resources. In addition to his MBA and CFP©, Brett also holds his FINRA Series 7 and 66 registrations. He is the recipient of the 2016 and 2017 Million Dollar Roundtable, 2008 V-Twin Industry Leader of the Year, 2007 Powersports Business Industry Leader, and 2004 La Crosse Area Development Corporation President's Award. Brett is a 1994 West Point graduate and served in the XVIII ABN Corps at Fort Bragg, NC where he increased productivity by more than 80 percent and realized savings over 72 percent as the manager of a condemned building demolition program and earned recognition from Forces Command as the most efficient of all United States Army bases. He received his masters from the University of Chicago's Booth School of Business MBA Program with concentrations in Finance and Strategic Management. As President of his family-owned company, S&S Cycle, Brett grew the business from 40M in revenue to 90M in revenue and was an Ernst & Young Entrepreneur of the Year in 2005. His experience regarding the challenges of owning/leading a closely-held family business prompted him to pursue this career to help others in similar situations. Brett enjoys spending time with his wife Robin and their four children. They attend Grace Church in Anderson, SC and Brett continues to serve his alma mater as a member of the West Point society of the Upstate and as a Field Force Team Member for the United States Military Academy. He is also a member of the National Association of Insurance & Financial Advisors and the Experimental Aircraft Association. He and his family are avid supporters of Greenville Drive baseball, and the Clemson Tigers and West Point athletic teams.

Job Titles:

• Associate Financial Representative
• Director of Insurance Services

Cassie Glover joined Northwestern Mutual in 2001. She is an Associate Financial Representative and is licensed in life insurance, disability insurance, annuities and long-term care insurance. She is also securities licensed. Cassie is responsible for client scheduling, assisting with new business underwriting and policyowner questions while delivering superior customer service.

Job Titles:

• Director of Operations

As Director of Operations, Chris oversees the entire ULPG support team in preparation for client engagement, planning, and support activities. Chris is also an accomplished paraplanner who predominantly specializes in assisting business-owner clients with planning engagements. He is a Florida native and graduate of Furman University with a degree in accounting. Chris enjoys strength training and hiking with his Carolina dog, Sadie.

Job Titles:

• Partner and Private Wealth Advisor

Donald Scott Clardy, Brett George Smith, John B Tripoli, Joanne Elizabeth Beresheim, Christopher Samuel Griffin and Gregory Rosson use Upstate Legacy Planning Group as a marketing name for doing business as representatives of Northwestern Mutual. Upstate Legacy Planning Group is not a registered investment adviser, broker-dealer, insurance agency or federal savings bank. Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company, Milwaukee, WI (NM) (life and disability insurance, annuities, and life insurance with long-term care benefits) and its subsidiaries. Donald Scott Clardy, Brett George Smith, John B Tripoli, Joanne Elizabeth Beresheim, Christopher Samuel Griffin and Gregory Rosson provide investment advisory services as Advisors of Northwestern Mutual Wealth Management Company® (NMWMC), Milwaukee, WI, a subsidiary of NM and federal savings bank. Donald Scott Clardy, Brett George Smith, John B Tripoli and Joanne Elizabeth Beresheim are Agents of Northwestern Long Term Care Insurance Company, Milwaukee, WI, (long-term care insurance) a subsidiary of NM. Donald Scott Clardy, Brett George Smith, John B Tripoli, Joanne Elizabeth Beresheim, Christopher Samuel Griffin and Gregory Rosson provide investment brokerage services as Registered Representatives of Northwestern Mutual Investment Services, LLC (NMIS), a subsidiary of NM, registered investment adviser, broker-dealer and member FINRA (finra.org) and SIPC (sipc.org). Donald Scott Clardy, Brett George Smith, John B Tripoli, Joanne Elizabeth Beresheim, Christopher Samuel Griffin and Gregory Rosson are Insurance Agents of NM.

Job Titles:

• Associate
• Associate Financial Representative
• Financial Planning Coordinator

As a Financial Planning Coordinator & Insurance Associate, Elliott works closely with clients regarding the data input and development of financial plans and assists with insurance product presentations, underwriting, and servicing. A graduate of Clemson University, he enjoys cheering for the Clemson Tigers. Elliott and his wife also enjoy hiking and spending time with friends and family.

Job Titles:

• Financial Planning Assistant

Job Titles:

• Director of Investments and Planning

Joanne has lived in the Upstate for over a decade and joined our practice shortly after moving to Greenville in 2010. Joanne is an Associate Wealth Management Advisor who has earned her FINRA Series 7/63 securities registrations as well as the Life, Variable and Accident/Health insurance licenses and the Long-Term Care licensing. She assists in coordinating Don Clardy's calendar, prepares customized client financial plans, generates investment and insurance paperwork, underwriting inquiries, portfolio rebalancing, equity research and coordination of client reviews. Joanne enjoys cooking, hiking and outdoor adventures with her husband and two dogs.

Job Titles:

• Co - Founder and Private Wealth Advisor

John Tripoli and Brett Smith cofounded Upstate Legacy Planning Group in 2019. Today, they are building one of the fastest growing ensemble practices in the country. John specializes in assisting families with tax-efficient, multi-generational wealth planning. John is also the Managing Director of the three Northwestern Mutual Upstate SC offices. John and his family moved to Greenville, SC by choice in 2004, and he built his practice from the ground up in a new community. John was recognized as the "2005 New Advisor of the Year" for the Northwestern Mutual Charlotte network office and is a lifetime member of MDRT (Million Dollar Round Table) The Premier Association of Financial Professionals®. John served as the 2018-2019 Northwestern Mutual Managing Director Association President, while simultaneously leading his office group to be the #1 District Office in Lives and New Clients in 2019. He has helped more than 120 new advisors get started in the financial industry, many of whom he personally recruited. In 2014, he won the Northwestern Mutual Foundation's Community Service Award for Greenville's Center for Development Services. John is a frequently requested speaker across Northwestern Mutual and industry platforms. John is a proud Jayhawk/University of Kansas graduate with a degree in Journalism and University of Phoenix graduate where he earned a Master of Business Administration (MBA). He has earned his Certified Financial Planner (CFP®) and Chartered Life Underwriter (CLU®) designations. Prior to working in the financial industry, John was a director of business development for a technology company in Southern CA where he assisted with their IPO and multiple acquisitions. He also worked for DuPont across multiple states in various business development roles. John is married to his wife Kelli, and they have two children.

Job Titles:

• Director of Marketing
• Director of Marketing for ULPG

As the Director of Marketing for ULPG, Mallory oversees and enhances the experience our clients expect and deserve. She is instrumental in onboarding our clients and facilitating ongoing touchpoints and events. Mallory has had the privilege of living in all three regions of South Carolina. Originally from Columbia, she graduated from the College of Charleston with a Bachelor's in Political Science and is now settled in Greenville. In her free time, Mallory enjoys cooking and baking, photography, reading as many books as possible, being with family and friends, and anything to do with Harry Potter.

Job Titles:

• Executive Assistant
• John Tripoli 's Executive Assistant

Meredith is John Tripoli's executive assistant, and she provides operational support for Upstate Legacy Planning Group and the district agency leadership team. She also oversees agency and client events. A graduate of Bob Jones University, Meredith enjoys meeting new people and supporting others. She likes traveling, especially to serve with her church, spending time with family and friends and discipling women.