Katy M. Ufferman is a LPL financial advisor at Maxwell Financial Management in New Albany, Ohio. A partner with the firm since 2013, she continues to help create comprehensive financial plans for clients as well as investment and planning recommendations. An LPL investment advisor representative, she is registered in securities and advisory services offered through the broker dealer LPL Financial. In addition, Katy is licensed with her Series 7, Series 66, and Series 6 certifications, held with LPL Financial. She holds her chartered financial consultant (ChFC) designation from the American College of Financial Services.
Katy specializes in helping women investors with their financial and retirement strategies and leads Maxwell’s Women Investing practice. She brings a unique perspective to her job and enjoys helping investors at all stages of their lives from young professionals, families, and, those in their middle years or close to retirement pursue their goals and dreams with proper financial planning.
Katy graduated from the University of Dayton with a Bachelor’s of Science degree in Finance. After graduation, she returned to her roots in Columbus and began her career at Chase Bank as an investment representative with One Group Mutual Funds. From there, she worked in the planning department at Steinhaus Financial Group where she created and implemented financial plans for over 20 financial advisors. In 2005, Katy joined the team at Maxwell Financial.
Katy is a member of the Financial Planners Association and is active with local charities. Maxwell Financial Management was founded by Katy’s mentor and father, Dick Maxwell. She resides in Grandview with her husband, Matt, and their two children, Evie and Max.