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Steffy Kaiser

Advisor at Janney Montgomery Scott — Lakeville, MN

Updated today

Credentials

Series 66

Experience

15 years

Location

Lakeville, MN

Janney Montgomery Scott logo

Janney Montgomery Scott

Enterprise

Total advisors

1,350

Across 157 offices

Clients per advisor

178 Very High

Avg AUM per client

$406,735 Typical

HNW client ratio

42% Very High

About

Steffy Kaiser is a financial advisor at Janney Montgomery Scott with 15 years of industry experience. She holds the Series 66 designation and previously worked at Wells Fargo Clearing for eight years before joining Janney in 2024. Janney Montgomery Scott LLC is a large, dually registered broker-dealer and SEC-registered investment adviser managing approximately $110 billion in client assets. The firm serves a diverse client base including individuals, families, trusts, estates, corporations, retirement plan sponsors, charitable organizations, and municipal clients, offering a range of brokerage services, financial planning, consulting, and advisory programs.

Client services

Based on Janney Montgomery Scott

Financial planning Portfolio management Pension consulting Selection of other advisers Educational seminars or workshops

Expertise

Based on Janney Montgomery Scott

ESG / Sustainable investing Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Wealth management

Occupation focus

Based on Janney Montgomery Scott

Executive Founder/Business Owner

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Fee options

Fixed

Flat fees may be charged for financial planning, consulting services, and certain Retirement Plan Investment Advisory Services.

Percentage

$0 - $500,000: up to 2.00% $500,001 - $1,000,000: up to 2.00% $1,000,001 - $3,000,000: up to 2.00% $3,000,001 - $5,000,000: up to 2.00% $5,000,001 - $15,000,000: up to 2.00% $15,000,001 - $25,000,000: up to 2.00% $25,000,001+: up to 2.00%

Commissions

Commission-based annuities held in non-qualified Partners Advisory and Compass Programs; commissions and trails may apply.

Other

Account minimum: $5,000

Location

See office

Lakeville, MN

Lakeville MN

Advisors at this office

1

Most active in

Florida · Minnesota · South Carolina · Texas

Work history

15 years of industry experience

Janney Montgomery Scott LLC

2024 - Present • 2 years

Ponte Vedra, FL

Wells Fargo Clearing

2016 - 2024 • 8 years

Clearwater, FL

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Adam D

CFP®

Lakeville, MN

Vinepath Wealth LLC

Adam Duchon is a CFP® professional with over five years of industry experience, currently serving as an advisor at PairOne Private Wealth. Outside of his financial advisory work, Adam coaches hockey at Lakeville North High School. PairOne Private Wealth is an independent registered investment adviser that provides discretionary asset management and comprehensive financial planning to families, small business owners, and young professionals.

Retirement income strategy General tax planning General retirement planning Retirement plans for business owners (SEP, solo 401k) Self-Employed Founder/Business Owner Sales Professional Professional Athlete Retired Christian Faith Based

Michael B

CFP®, Series 66

Eagan, MN

LPL Financial

Michael Bins is a CFP® professional currently affiliated with LPL Financial. LPL Financial provides advisory and brokerage services to a diverse client base, including individual investors, retirement plan sponsors, institutions, and high-net-worth households. The firm offers a range of investment solutions supported by an in-house research team and a large network of investment adviser representatives.

Wealth management Retirement plans for business owners (SEP, solo 401k) College savings (529s, UTMA, etc.) Tax-loss harvesting Founder/Business Owner Retired Approaching retirement Mid-Career Professionals HENRY (High Earners, Not Rich Yet) Retired Career Changers
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Bradley H

Series 65, Series 63

Savage, MN

Sword and Shield Solutions LLC

Bradley Hesselberg is the principal advisor at Sword and Shield Solutions LLC, an independent investment advisory firm. He holds Series 63 and Series 65 licenses and has nine years of industry experience, including prior roles at Gradient Investments, LLC and Gradient Wealth Management. Outside of advisory work, he is a licensed insurance agent. Sword and Shield Solutions provides non-discretionary asset management and financial planning services, primarily serving a single client. The firm employs client-approved investment strategies involving fundamental, technical, charting, and cyclical analysis, and may recommend and monitor third-party managers for client portfolios.

General retirement planning Income planning Tax strategies for small businesses Active portfolio management
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Scott L

Series 63, Series 66

Prior Lake, MN

Strategic Finance & Management, LLC

Scott Langguth is a financial advisor with Strategic Finance & Management, LLC in Prior Lake, MN. He holds Series 63 and Series 66 licenses and has 12 years of industry experience, including a prior role at SPC. Outside of his advisory work, he assists with tax preparation for family members. Strategic Finance & Management, LLC is a small independent advisory firm serving individuals and various institutional clients. The firm offers investment management, financial planning, consulting, and estate management, using a mix of analytical approaches to portfolio construction and providing educational seminars.

Options & derivatives strategies
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Kevin K

Series 63, Series 66

Bloomington, MN

Kruger Wealth Management, Inc.

Kevin Kruger is the sole advisor at Kruger Wealth Management, Inc. in Bloomington, MN, with 37 years of industry experience. He holds Series 63 and Series 66 designations and has worked at his current firm since 2017, having previously been with SII Investments, Inc. from 2013 to 2017. In addition to his advisory work, he is licensed as an independent insurance agent specializing in fixed insurance products. Kruger Wealth Management serves individuals and small business owners by identifying investment objectives and referring clients to independent third-party advisory firms for asset management. The firm provides written financial plans and hosts no-fee public educational workshops, focusing on long-term investment strategies through a solicitor/referral model.

General retirement planning General tax planning College savings (529s, UTMA, etc.) General estate planning guidance Founder/Business Owner
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Richard M

CFP®, PFS™, Series 63

Prior Lake, MN

Compass Private Wealth Consulting, LLC

Richard Miller is a CFP® and PFS™ credentialed financial advisor with 18 years at Compass Private Wealth Consulting, LLC and over 26 years of experience including his tenure at RSM McGladrey, Inc. He maintains an active CPA practice focused on individual tax return preparation during tax season. Compass Private Wealth Consulting is an independent, fee-only firm managing approximately $18.2 million for about 35 clients. The firm provides discretionary portfolio management and financial planning services to individuals, pension plans, trusts, estates, and charitable organizations, using mutual funds, ETFs, and individual equities with both fundamental and technical analysis.

Debt management Business succession planning General retirement planning Cash flow / budgeting
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