Jim Brogan, MBA, is a well-known financial educator, author and radio talk-show host. Jim was named the 2011 National Advisor of the Year by Senior Market Advisor Magazine, the industry’s leading publication for advisors specializing in serving the retirement phase of life.
Jim is President and Founder of Brogan Financial and serves as its Chief Investment Officer, monitoring and managing all client investment portfolios. He is a Certified Estate and Trust Specialist (CES) and a Certified Retirement Financial Advisor (CRFA). After earning a B.S. in music education at The University of Tennessee in 1991, Jim went on to earn an MBA from The University of Tennessee in 1994.
Jim is an educator and has been gifted with a unique ability to communicate simply and effectively. By equipping his clients with knowledge, they can make informed and prudent decisions to impact their quality of life.
Jim is certified by the National Association of State Boards of Accountancy (NASBA) to provide Continuing Professional Education (CPE) for CPAs. He also teaches adult education courses at The University of Tennessee and Pellissippi State Community College.
Each weekend, Jim hosts “More Living with Jim Brogan,” East Tennessee’s leading resource for retirement planning. This interactive radio talk show can be heard each Saturday morning from 9-10 a.m. on NewsTalk 98.7 FM, WOKI.
Jim is a lifelong East Tennessean who is committed to serving the community. He serves on the Advisory Council for The University of Tennessee’s Department of Finance, as well as on the Board of Directors for the Knoxville Symphony Orchestra.
Jim currently resides in the Knoxville area with his wife, Dee Dee, and their two daughters.
Dee Dee Brogan, wife of Jim Brogan, serves as an integral part of Brogan Financial as she provides visionary leadership. She oversees client events throughout the year and passionately creates experiences for clients to enjoy. Additionally, she serves as a member of the creative and marketing teams.
Dee Dee directly impacts the client experience by crafting the environment and hospitality guests receive each time they interact with Brogan Financial. Together, the Brogans work hard at creating an exceptional experience for clients.
Dee Dee and Jim founded Brogan Financial together in 2001. She is a native of Columbia, South Carolina and earned a degree in music education from Columbia College. The couple married in 1993 and have two daughters.
In the community Dee Dee is well known for her singing talent. She released a Christmas album in November 2011 entitled, “Dee Dee Brogan, December Five & Twenty.” She has toured and sung with Glenn Draper and The Junaluska Singers at many Billy Graham Crusades and international events. A personal highlight for Dee Dee was singing twice at The White House at Christmastime. Today, Dee Dee regularly sings at The University of Tennessee basketball games and in local venues with her band. She loves playing for Knoxville in its hottest new venue, The Open Chord, as well as performing for private parties and events. Dee Dee is working hard with her producer and band to release another record next year.
We are excited to welcome Rich Polchinski as our Director of Operations & Development. He works closely with our financial advisors and operations team to ensure all office policies and procedures are carried out seamlessly and consistently.
In his role, he is responsible for all operational and business services, including Client Relations, Compliance, Human Resources, and Information Technology. Additionally, Rich will be actively leading and developing the Client Services team to better serve our growing client base and work directly with our Financial Advisors to execute our service approach.
Prior to joining Brogan Financial, Rich served as Vice President and Regional Supervisor with Wells Fargo Advisors in St. Louis, MO. His oversight included Operational Risk and Supervisory Items, such as client service requests, asset movement and trade review. He also partnered with Financial Advisors to develop a repeatable service model that delivered a consistent experience for all clients.
Rich, his wife, Kristen, and their two daughters recently relocated to Knoxville and they look forward to enjoying the beauty of East Tennessee. He and Kristen enjoy spending time with their family, traveling and spending time in the outdoors.
Theresa serves as Chief Compliance Officer for Brogan Financial, a position she’s held since 2013, and as a Senior Consultant with Oyster Consulting LLC, a leading service provider to the financial industry. She is an accomplished compliance professional specializing in regulatory compliance and risk management for investment advisers.
As CCO, Theresa is responsible for ensuring Brogan Financial’s conformity with the regulatory requirements for registered investment advisers and our fiduciary duty to clients. She is responsible for the development and monitoring of the firm’s compliance program, including policies, procedures, internal controls and code of ethics.
Theresa has been with Oyster Consulting since 2013, serving clients with a focus on registered investment advisers, hedge funds and funds of funds. Prior to joining Oyster, Theresa was Vice President of Compliance and Paralegal for Wealthcare Capital Management LLC, a billion-dollar registered investment advisor in Richmond, Virginia. Theresa spent nine years in various legal and compliance positions with Ivy Asset Management, a former New York-based fund of hedge funds and subsidiary of the Bank of New York Mellon.
Theresa earned her BBA from James Madison University. She also holds a certification in paralegal studies from Hofstra University – University of Continuing Education in New York.
Jim Kraeske began his financial services career in 2006 with a move to Knoxville from Nashville. He joined Brogan Financial in the spring of 2009 as a Financial Advisor. Jim’s commitment to intimately knowing his clients provides him with a great ability to connect and understand their greatest concerns. He is loyal and dedicated to making each financial plan unique in serving each client’s best interests.
Jim holds the Certified Income Specialist (CIS) designation from the Institute of Business and Finance. He also holds a B.S. in business administration from The University of Tennessee and is a former small business owner.
Originally from Clarksville, Tennessee, Jim lives in Knoxville with his wife, Angie, and two daughters. In his spare time he enjoys hiking and exploring the beauty of East Tennessee with his family.
Peter joined the Brogan Financial family in 2013 as a Financial Advisor and brings more than 20 years of financial industry experience. Prior to relocating to Knoxville, Peter was a Director of Equities and Derivatives with Deutsche Asset Management in New York. Peter holds a B.S. in business administration and finance from The University of Maine, where he graduated in 1989.
Peter is fiercely committed to serving his clients by formulating and implementing plans to meet their unique objectives and greatest needs. He views his role in the lives of his clients as an advocate to support them with their financial concerns and goals. Always willing to listen and help, Peter has an outstanding reputation among our clients with whom he works.
Originally from Chatham, New Jersey, he currently resides in Knoxville with his wife, Jenny, and their two daughters. Peter enjoys the outdoors, home renovation projects and spending time with his family.
Aaron joined Brogan Financial’s advisory & planning team in 2018 and serves as a Financial Advisor. In his role, he supports the development and delivery of customized financial solutions to our clients. Focused on building strong, long-term relationships, Aaron enjoys helping clients identify and achieve their financial goals.
Prior to joining Brogan Financial, Aaron served as an independent financial advisor in the Knoxville area. He holds a B.S. in Accounting and an MBA from Western Governors University. He is actively involved in the community and is a graduate of the 2017 class of Leadership Oak Ridge.
Aaron lives in Knoxville with his wife, Yuh, and their son. He enjoys spending time with family, traveling, and being outdoors.
Amy joined Brogan Financial in 2013 and serves as Client Care Specialist and Operations Team Lead. She enjoys working directly with clients to serve their needs and provides exceptional service in handling client requests. Her key responsibilities include preparing the necessary paperwork for clients and prospects, follow-up processing paperwork, providing support to the financial advisors, and communicating with clients.
As the Operations Team Lead, Amy provides leadership and support for the operations staff and financial advisors at Brogan Financial.
After living in Murfreesboro, Amy moved to Knoxville and graduated from The University of Tennessee in 2007, earning a bachelor’s degree in architecture. Her attention to detail serves the Brogan Financial team well.
Amy lives in Knoxville with her husband, Will. Amy enjoys crafting, cooking, the great outdoors and spending time with her family.
Lynn joined Brogan Financial in 2017 and serves as a Client Care Specialist with almost 30 years of experience as a Registered Assistant in the securities industry. She enjoys establishing relationships with clients while serving their individual needs, including answering client calls, opening accounts, processing distributions, transfers and general account maintenance.
Lynn was born in Birmingham, Alabama, moving to Waynesville, North Carolina at a young age, and has lived in Tennessee for over 30 years.
Lynn resides in Knoxville with her two dogs, Mollie and Milo. She enjoys biking, walking, gardening, baking and cooking. Lynn enjoys her relationship with her church and the activities in which they participate throughout the community.
Larry serves as a paraplanner supporting Brogan Financial’s Advisory and Client Care teams. He works closely with our financial advisors to prepare and maintain client files and perform investment research.
Coming from the Central Coast of California, Larry spent 28 years working in the banking industry as a commercial lender and credit administrator. His detail-oriented nature and background in finance allows Larry to efficiently assist clients and staff.
Larry makes his home in Maryville with his wife, Cindy, and their two dogs. He enjoys spending time with his three grown children, playing golf and rooting for his favorite sports teams.
Christy joined Brogan Financial in 2017 and serves as Administrative Assistant. She has the privilege of greeting and hosting clients and guests as they visit the Brogan Financial office, and enjoys helping them feel very much at home.
Christy brings a diverse background, with experience in executive administration and office management, legal, human resources, as well as customer and client relations. She conveys a warm and approachable personality, giving detailed attention to everyone with whom she comes into contact.
Raised just east of Knoxville, Christy is actively involved in the community, serving on non-profit boards to support high schools and Tennessee Volunteer athletics. She enjoys her family, dogs and cats, church, collegiate sports, working out and outdoor activities.
Caitlin serves as the Marketing and Communications Coordinator for Brogan Financial. Caitlin is responsible for the design and implementation of marketing tasks related to firm branding programs. In this versatile role, she is able to raise public awareness and educate East Tennesseans on all that Brogan Financial can assist them with.
Upon graduating Kansas State University with a Master’s degree in Architecture, Caitlin thrived in marketing and business development tasks. She structured her career to focus solely on marketing, where she blends a formal design background with practical experience.
Caitlin lives in West Knoxville with her husband, Evan, and their daughter. Preferring to be outdoors, they enjoy traveling, hiking, camping and spending time on the water.
Mandy serves as Executive Assistant and Event Planner. She brings an enormous amount of energy as she works tirelessly to ensure that Brogan Financial, as well as Dee Dee and Jim Brogan, maintain order and organization to effectively serve clients, employees and the community. There is never a problem with Mandy, only a solution, and she is committed to helping Brogan Financial fulfill its vision of serving East Tennesseans’ life and retirement planning needs.
Mandy began her career managing her family’s small retail business. Originally from Jasper, Tennessee, Mandy moved to Knoxville where she graduated from The University of Tennessee in 2009, earning her B.S. in enterprise management with a collateral in marketing. She has a background in retail, management and commercial insurance and surety.
Mandy lives in West Knoxville, and in her free time she enjoys sports, traveling, the outdoors, crafting and spending time with family and friends.