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John S

PFS™, Series 65

Colchester, CT

JGS Wealth Management, LLC

John Stalega is the principal of JGS Wealth Management, LLC in Colchester, CT, holding the PFS™ designation and Series 65 license with 15 years of industry experience. He has operated his CPA and financial planning practice since 2005, providing tax preparation and accounting services to individuals and small businesses. His accounting practice occasionally offers investment advice as an incidental service. JGS Wealth Management provides ongoing portfolio advisory and comprehensive financial planning for individual clients, emphasizing Modern Portfolio Theory and passive investment strategies. The firm uses broadly diversified equity and fixed-income allocations, often employing third-party portfolio managers for portfolio construction and oversight.

General retirement planning General tax planning Passive / index investing
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Lawrence K

Series 63

Lyme, CT

Summit Investment Management, LLC

Lawrence Kaplan is a financial advisor at Summit Investment Management, LLC with 36 years of industry experience. He holds a Series 63 designation and has been with Summit since 2009. Kaplan is also a licensed insurance agent in Lyme, CT, selling insurance products alongside his advisory work. Summit Investment Management provides individualized investment advisory and consulting services to individuals, including high net-worth clients, using tailored portfolios that may include stocks, bonds, mutual funds, ETFs, and private securities. The firm’s investment approach is based on fundamental analysis and asset-allocation principles, offering ongoing asset management, financial planning, and consulting engagements.

Wealth management
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William D

Series 63, Series 65

Groton, CT

Sightline Wealth Advisors, LLC

William Duvall is a financial advisor at Sightline Wealth Advisors, LLC with seven years of industry experience. He holds Series 63 and Series 65 designations and has been with Sightline since 2015. Sightline Wealth Advisors provides financial planning and investment advisory services to individuals, high-net-worth clients, trusts, estates, and businesses. The firm employs a long-term investment approach that combines passive and active management, strategic asset allocation, and fundamental analysis, utilizing ETFs, mutual funds, individual securities, and derivatives where appropriate.

Long-term care insurance Life insurance needs analysis
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Stefan P

Series 63, Series 65

Groton, CT

Sightline Wealth Advisors, LLC

Stefan Pellish is a financial advisor with Sightline Wealth Advisors, LLC, where he has worked since 2015. He holds Series 63 and Series 65 licenses and has 30 years of industry experience. Outside of his advisory role, he has been involved in the commercial real estate business through House of Doors since 1994. Sightline Wealth Advisors is an SEC-registered, fee-only firm serving individuals, high-net-worth clients, trusts, estates, and businesses. The firm combines passive and active investment strategies with strategic asset allocation and ongoing financial planning, using a range of investments including ETFs, mutual funds, and derivatives.

Long-term care insurance Life insurance needs analysis
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Glenn J

Series 63, Series 65

Uncasville, CT

Jabez Financial, LLC

Glenn Johnson is a financial advisor with Jabez Financial, LLC, holding Series 63 and Series 65 licenses and bringing 24 years of industry experience. His prior roles include positions at Bradford Financial, Inc. and Eagle Mortgage, LLC. He is also an insurance agent involved in the sale of various insurance products. Jabez Financial provides portfolio management and financial planning services primarily to individual clients and small businesses, utilizing modern portfolio theory and individualized Investment Policy Statements to align investments with client goals. The firm offers non-discretionary management and may recommend third-party asset managers or wrap-fee programs.

Annuities
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Steven B

CFP®

Norwich, CT

Thames Financial Management

Steven Bokoff is a CFP® professional with 25 years of industry experience, currently serving as a partner at Goldblatt Bokoff LLC, a certified public accounting firm. He has been involved with CDM Financial Counseling Services, doing business as Thames Financial Management, since 1996. Thames Financial Management provides portfolio management and investment advisory services to individuals, trusts, estates, pension and profit-sharing plans, and business entities, serving both high-net-worth and non-HNW clients. The firm manages approximately $315 million in assets and employs a long-term, fundamental analysis-based investment approach that includes option strategies and regular portfolio reviews.

Options & derivatives strategies
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Austin C

Series 63, Series 66

Uncasville, CT

Jabez Financial, LLC

Austin Concascia is a financial advisor at Jabez Financial, LLC with three years of industry experience. He holds Series 63 and Series 66 licenses and previously worked at Fidelity Investments and Strategic Advisors. Jabez Financial, LLC provides portfolio management and financial planning services to individuals and business entities, managing approximately $14.1 million in assets across about 117 client relationships. The firm utilizes modern portfolio theory and a long-term trading approach with a variety of investment vehicles, maintaining primarily non-discretionary client accounts.

Annuities
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Andrew S

CFA®, Series 63

Norwich, CT

Thames Financial Management

Andrew Sawyer is a CFA® charterholder with 25 years of industry experience. He has worked at Thames Financial Management since 2018 and previously spent seven years at First Manhattan Co. Outside of his advisory role, he is the owner and operator of Preston Ridge Vineyard, a farm winery. Thames Financial Management provides portfolio management and investment advisory services to individuals, trusts, estates, pension and profit-sharing plans, and business entities. The firm serves both high-net-worth and non-HNW clients, managing approximately $315 million in assets with an investment approach that emphasizes fundamental analysis, long-term buy-and-hold strategies, diversification, and option strategies to enhance returns or adjust equity exposure.

Options & derivatives strategies
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Mark S

Series 66

Groton, CT

Sightline Wealth Advisors, LLC

Mark Steffen is a financial advisor at Sightline Wealth Advisors, LLC with 23 years of industry experience. He holds a Series 66 designation and has been with Sightline since 2015. Outside of his advisory role, he is involved in business ownership through PS Development LLC and Pellish and Steffen LLC, which manage properties used by his practice. Sightline Wealth Advisors provides financial planning and investment advisory services to individuals, high-net-worth clients, trusts, estates, and businesses. The firm employs a primarily long-term investment strategy combining passive and active management, using ETFs, mutual funds, individual securities, and derivatives when appropriate.

Long-term care insurance Life insurance needs analysis
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Mark M

CFA®

Groton, CT

Sightline Wealth Advisors, LLC

Mark Michna is a CFA® charterholder with two years of industry experience. He has worked at Sightline Wealth Advisors, LLC since 2023 and previously spent 19 years at Prospect Partners, LLC. Sightline Wealth Advisors provides financial planning and investment advisory services to individuals, high-net-worth clients, trusts, estates, and businesses. The firm employs a long-term investment approach that combines passive and active management, strategic asset allocation, and fundamental analysis, using a range of investment vehicles including ETFs, mutual funds, individual securities, and alternatives when appropriate.

Long-term care insurance Life insurance needs analysis
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Todd W

Series 63, Series 65

Westerly, RI

Professional Planning Group

Todd Wokoske is a financial advisor with Professional Planning Group in Westerly, RI, holding Series 63 and Series 65 licenses and bringing 19 years of industry experience. His prior roles include positions at Decisive Wealth Management, Commonwealth Financial Network, and Park Avenue Securities. Outside of his advisory work, he is involved in property management as an owner of rental real estate. Professional Planning Group provides discretionary and non-discretionary investment advisory services, financial planning, trust services, and educational workshops to a diverse client base including individuals, high-net-worth clients, trusts, estates, and charitable organizations. The firm combines fundamental and technical analysis with tailored investment strategies, managing approximately $1.17 billion in client assets.

Equity compensation tax strategy Retirement income strategy
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Daniel M

CFP®, Series 66

Plainfield, CT

FCIG Wealth Management, LLC

Daniel Massucci is a CFP® with 26 years of industry experience, currently affiliated with FCIG Wealth Management, LLC. He previously worked at Commonwealth Financial Network for nine years and has operated his own firm, Massucci & Associates, LLC, since 1987. Outside of advising, he provides business consulting services through Massucci & Associates and serves as a trustee and executor in non-investment related matters. FCIG Wealth Management, LLC serves individuals, including high-net-worth clients, as well as corporations and business entities, offering wealth management with discretionary asset management and financial planning. The firm uses sub-advisors and third-party platforms to tailor investment programs to client objectives and conducts regular account reviews.

Private / alternative investments Tax-loss harvesting Annuities
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Larry H

Series 65

Westerly, RI

Washington Trust Advisors

Larry Henderson is a Series 65-licensed financial advisor with Washington Trust Advisors, bringing one year of industry experience. Prior to joining Washington Trust Advisors, he worked at Lighthouse Financial Management, LLC. He also serves as a board member and director at Rhody Christian Fellowship, where he acts as a chaplain and campus minister. Washington Trust Advisors serves individuals, high-net-worth clients, trusts, estates, and select institutional and retirement-plan clients, offering wealth management, financial planning, and portfolio management services. The firm designs tailored discretionary portfolios and provides access to affiliated trust and custodial services through its parent company, The Washington Trust Company.

Income planning Tax-loss harvesting Active portfolio management Options & derivatives strategies Executive
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Daniel M

Series 65

Plainfield, CT

FCIG Wealth Management, LLC

Daniel Massucci is a financial advisor at FCIG Wealth Management, LLC and holds a Series 65 designation. He has been in the industry for one year and previously worked in various roles including positions at Isoplexis and ownership of Massucci & Associates, LLC since 2010. Outside of advisory services, he owns a small LLC providing bookkeeping and professional services to biotech companies and is a registered life, accident, and health insurance producer in Connecticut. FCIG Wealth Management LLC serves individuals, including high-net-worth clients, as well as corporations and business entities, offering discretionary asset management and financial planning through a combination of sub-advisors and third-party platforms. The firm tailors investment programs to client objectives and conducts regular account reviews while providing integrated insurance and tax services.

Private / alternative investments Tax-loss harvesting Annuities
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Eric W

CFA®, Series 63

Westerly, RI

Professional Planning Group

Eric Wilson is a CFA® charterholder and Series 63 registered advisor with over 10 years of professional experience spanning financial services and analytical roles. He has worked at Washington Trust Company, Raymond James Financial Services, and Sensata Technologies, among others. Wilson serves on the board and finance committee of Wood River Health Services, a federally qualified health center. Professional Planning Group provides discretionary and non-discretionary investment advisory services, financial planning, trust services, and educational workshops to individuals, high-net-worth clients, and institutional entities. The firm employs both fundamental and technical analysis and offers tailored investment strategies aligned with client objectives and risk tolerances.

Equity compensation tax strategy Retirement income strategy
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Peter W

Series 63, Series 65

Westerly, RI

Professional Planning Group

Peter Wallace is a financial advisor with Professional Planning Group in Westerly, RI, holding Series 63 and Series 65 licenses and bringing 31 years of industry experience. He has been associated with New England Professional Planning Group and Raymond James Financial Services since 1998. Outside of his advisory role, he is involved with Katrina A. Wall, DMD, LLC. Professional Planning Group provides discretionary and non-discretionary investment advisory services, financial planning, trust services, and educational workshops to a diverse client base including individuals, high-net-worth clients, trusts, estates, charitable organizations, corporations, endowments, and foundations. The firm manages approximately $1.17 billion in client assets and combines fundamental and technical analysis with both long- and short-term strategies tailored to client goals and risk tolerances.

Equity compensation tax strategy Retirement income strategy
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Andrea S

Series 63, Series 65

Westerly, RI

Professional Planning Group

Andrea Spieth is a financial advisor with Professional Planning Group in Westerly, RI, holding Series 63 and Series 65 licenses and bringing 27 years of industry experience. She has worked at Raymond James Financial Services and Webster Investments and has been with Professional Planning Group since 2019. Professional Planning Group provides discretionary and non-discretionary investment advisory services, financial planning, trust services, and educational workshops to a diverse client base including individuals, high-net-worth clients, trusts, estates, charitable organizations, corporations, endowments, and foundations. The firm manages approximately $1.17 billion in client assets and employs both fundamental and technical analysis within tailored investment strategies.

Equity compensation tax strategy Retirement income strategy
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Stephen P

CFP®, PFS™

Westerly, RI

Washington Trust Advisors

Stephen Poplaski is a CFP® and PFS™ credentialed advisor with 18 years of industry experience. He has worked at Washington Trust Advisors since 2025 and previously spent nine years at Johnson & Wales University and 21 years at Lighthouse Financial Management, LLC. He also operates a CPA practice that has been active since 1983. Washington Trust Advisors serves individuals, high-net-worth clients, trusts, estates, and select institutional and retirement-plan clients, providing wealth management, financial planning, and portfolio management services. The firm offers tailored discretionary portfolios, model portfolios, and tax planning for certain Rhode Island clients, operating within a bank holding company structure that provides access to affiliated trust and custodial services.

Income planning Tax-loss harvesting Active portfolio management Options & derivatives strategies Executive
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Matthew S

CFP®

Sterling, CT

Axis Wealth Partners, LLC

Matthew Sweet is a CFP® professional with 17 years of industry experience. He is currently with Axis Wealth Partners, LLC and has prior experience at Randall Financial Group, LLC. Outside of his advisory work, he is involved in raising livestock at Heritage Park Farm in Sterling, CT. Axis Wealth Partners provides discretionary investment management, financial planning, and consulting services to individuals, employee benefit plans, and corporate clients. The firm primarily employs a passive investment approach using diversified portfolios of index mutual funds and ETFs, supplemented by fundamental, technical, and cyclical analysis to guide allocation and rebalancing.

Retirement income strategy College savings (529s, UTMA, etc.) General estate planning guidance Cash flow / budgeting Debt management Founder/Business Owner Retired Mid-Career Professionals Approaching retirement
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Christopher W

CFA®, Series 63

Westerly, RI

Professional Planning Group

Christopher Wallace is a CFA® charterholder with 27 years of experience in the financial services industry. He has been with the Professional Planning Group and Raymond James Financial Services since 2002. Wallace is based in Westerly, Rhode Island, and his role includes trading, client service, and client reviews. Professional Planning Group offers discretionary and non-discretionary investment advisory services, financial planning, trust services, and educational workshops to a diverse client base including individuals, high-net-worth clients, trusts, estates, charitable organizations, corporations, endowments, and foundations. The firm manages approximately $1.17 billion in client assets and integrates fundamental and technical analysis with both long- and short-term strategies tailored to client goals and risk tolerances.

Equity compensation tax strategy Retirement income strategy
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