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155 advisors near
06776
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Robert S
Series 63, Series 65
Washington, CT
Goodstead
Robert Swigert is a financial advisor at Goodstead with seven years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Tyr Partners LP since 2016 and Cityblock Health, Inc. from 2018 to 2019. Swigert also serves as a lecturer in Finance and Economics at Columbia Business School and SUNY Maritime College and is involved in operational oversight for El Menudo Cuenta. Goodstead provides investment management and financial planning to a range of clients including individuals, trusts, and nonprofit organizations. The firm employs a risk-budgeting framework that balances lower- and higher-risk strategies, uses a combination of quantitative models and fundamental analysis, and maintains a unique registration with the CFTC as a Commodity Trading Advisor supporting commodity and systematic trading within its investment approach.
Kevin S
Series 63, Series 65
Brookfield, CT
Shine Financial Services, LLC
Kevin Shine is the principal advisor at Shine Financial Services, LLC, an independent firm based in Brookfield, CT. He holds Series 63 and Series 65 licenses and has 18 years of industry experience, having founded Shine Financial Services in 2007. Shine Financial Services provides investment advisory and consulting services to individuals, retirement plans, trusts, estates, charitable organizations, corporations, and pooled investment vehicles. The firm employs a combination of fundamental and technical analysis, utilizing both long-term and short-term trading techniques, including short sales, options, and margin, tailored to client objectives. Its direct management of a private pooled fund and use of performance-based fee arrangements distinguish it from many independent advisors of similar size.
Sam S
Series 65, Series 63
Southbury, CT
Shehu Asset Management, LLC
Sam Shehu is the sole advisor at Shehu Asset Management, LLC in Southbury, CT, holding Series 65 and Series 63 designations with 25 years of industry experience. His work history includes multiple tenures at Shehu Asset Management, as well as roles at LPL Financial LLC, Wells Fargo Clearing, and Prudential Equity Group. Outside of financial advising, he manages a self-service laundry business in Thomaston, CT. Shehu Asset Management provides financial planning and discretionary portfolio management to individuals, small businesses, pensions, trusts, estates, charitable organizations, and corporations, along with pension consulting services. The firm uses proprietary modeling tools to tailor portfolios and manage risk, offering real-time account oversight and operating without accepting commissions or soft-dollar benefits.
Jonathan E
CFP®, Series 63
Kent, CT
Nonesuch Advisors
Jonathan Edelman is a CFP® with four years of industry experience, serving as the sole advisor at Nonesuch Advisors in Kent, CT since 2013. He is also Co-Managing Partner of Inflection Vintners, a winery involved in production, sales, and finance. Nonesuch Advisors primarily serves entrepreneurs, small-business owners, and principal executives, offering financial planning, investment strategy, and start-up consulting through fixed-fee or hourly engagements. The firm emphasizes fundamental analysis and diversified portfolios using mutual funds and ETFs, focusing on the intersection of personal and business financial issues without providing discretionary portfolio management.
Ronald I
CFP®, Series 65
Woodbury, CT
Ronald J. Iannucci CFP
Ronald Iannucci is the sole advisor at Ronald J. Iannucci CFP, an independent firm based in Woodbury, CT. He holds the CFP® designation and has 26 years of industry experience. Prior to founding his current firm, he worked at Comprehensive Capital Management, Inc. and Comprehensive Asset Management and Servicing, Inc. Additionally, he is involved in mortgage origination through First World Mortgage and has been a licensed insurance agent since 1990. The firm provides investment advisory and portfolio management services primarily to individual clients, managing approximately $3.1 million in assets across 53 accounts. It also offers tax preparation and insurance products alongside its investment services.
Mark P
Series 65
Pawling, NY
PK Financial Services
Mark Palmrose Krieger is a financial advisor at PK Financial Services in Pawling, NY. He holds a Series 65 credential and has 10 years of experience at the Pension Benefit Guaranty Corp. PK Financial Services offers personalized financial planning and discretionary investment management primarily to individuals and small businesses, alongside a separate tax preparation and tax-planning practice. The firm uses a core-and-satellite investment approach with formal risk-profiling tools and quantitative performance metrics, and it makes both hourly and performance-based fee arrangements available for eligible clients.
Jonathan S
Series 63, Series 65
Sherman, CT
New Line Capital, LLC
Jonathan Stephens is a financial advisor at New Line Capital, LLC with five years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Stires, O'Donnell and Co., Inc. since 1998. New Line Capital provides investment advisory and portfolio management services primarily to individuals, trusts, estates, and charitable organizations, as well as businesses and pension and profit-sharing plans. The firm offers customized advice based on a combination of fundamental, technical, and cyclical analysis, managing both discretionary and non-discretionary accounts.
Donald B
Pawling, NY
Bourne Lent Asset Managament, Inc.
Donald Bourne is a financial advisor at Bourne Lent Asset Management, Inc. with four years of industry experience. He has been with Bourne Lent since 1991. Bourne Lent Asset Management provides discretionary investment management and advisory services to individuals, trusts, estates, charitable organizations, businesses, and municipal entities. The firm employs a fundamental analysis approach with customized portfolio construction, emphasizing individual equities and bonds, and serves a range of clients including high-net-worth individuals and state and municipal clients.
Benjamin E
Series 65
New Milford, CT
PASNAU Investment Management, Inc.
Benjamin Edmund is a financial advisor at Pasnau Investment Management, Inc. with one year of industry experience. He holds a Series 65 designation and has worked at Pasnau Investment Management since 2023. Prior to this, he was involved with 1610 Capital, a firm focused on short-term equities trading for its own capital, and he operates Cronk Studios, a web design agency specializing in building online stores for small businesses on Shopify. Pasnau Investment Management provides discretionary portfolio management and individualized investment advice to individual and high-net-worth clients, managing approximately $129 million in discretionary assets. The firm develops investment strategies through client-specific consultations and employs a combination of fundamental, technical, and cyclical analysis alongside buy-and-hold and asset-allocation approaches.
Eric M
Series 65
Holmes, NY
Blue Elm Advisors
Eric McKean is a financial advisor at Blue Elm Advisors with a Series 65 credential and four years of industry experience. He has held positions at several organizations, including Atlas Air, Westchester County, USDA, and currently serves as a Computer Specialist at NYC DEP. In addition to his advisory role, McKean is an Adjunct Professor at UConn. Blue Elm Advisors serves individual clients, businesses, and charitable organizations by providing tailored investment management and financial planning services. The firm employs a combination of strategic asset allocation and tactical adjustments, using both active and passive investment vehicles, and accommodates client preferences such as ESG criteria and specific restrictions.
Richard M
Series 65
Holmes, NY
Blue Elm Advisors
Richard Mckean is a Series 65-registered advisor with Blue Elm Advisors, where he has worked since 2022. He has four years of industry experience and has also been involved with the Estate of Maria Dasilva since 2013. Blue Elm Advisors serves individual clients, including high-net-worth individuals, as well as businesses and charitable organizations. The firm provides tailored investment management and financial planning services, combining strategic asset allocation with tactical adjustments and incorporating both active and passive investment vehicles.
Kevin K
Series 63, Series 65
Southbury, CT
Kennedy Wealth & Tax Management, LLC
Kevin Kennedy is the sole advisor at Kennedy Wealth & Tax Management, LLC in Southbury, CT, holding Series 63 and Series 65 licenses with 23 years of industry experience. He has been with Kennedy Wealth & Tax Management since 2014 and has also been associated with Kennedy & Company, P.C. since 1995. Outside of his advisory role, he serves as president of the Pomperang Office Park Condominium Association. Kennedy Wealth & Tax Management serves individual and high-net-worth clients, trusts, estates, and employer retirement plans, providing discretionary asset management, comprehensive portfolio management, financial planning, and pension consulting. The firm integrates tax preparation and corporate-structure advice through its affiliation with a related CPA firm and employs an efficient-markets investment approach with portfolios reviewed at least semiannually.
William P
New Milford, CT
PASNAU Investment Management, Inc.
William Pasnau is the principal advisor at PASNAU Investment Management, Inc. in New Milford, CT, with 26 years of industry experience. He has led PASNAU Investment Management since 1999. PASNAU Investment Management, Inc. provides discretionary portfolio management and individualized investment advice to both individual and high-net-worth clients, managing approximately $129 million in discretionary assets. The firm develops client-specific investment strategies using fundamental, technical, and cyclical analysis, and employs buy-and-hold and asset-allocation approaches.
Michael P
Series 63, Series 66
New Fairfield, CT
Thrive Capital Management, LLC
Michael Perri is a financial advisor with Thrive Capital Management, LLC, holding Series 63 and Series 66 licenses and 14 years of industry experience. His prior roles include positions at Equitable, LPL Financial, Fidelity Investments, TD Ameritrade, Merrill, and Wells Fargo Clearing. Thrive Capital Management serves individuals, high-net-worth clients, businesses, and charitable organizations, offering discretionary portfolio management, financial planning, seminars, and access to private placements. The firm uses diversified model portfolios with fundamental analysis and incorporates third-party sub-advisors to tailor strategies and enhance diversification.
Paul S
Series 63, Series 65
Litchfield, CT
Sandhill Investment Management
Paul Stancs is a financial advisor at Sandhill Investment Management with 12 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at Fisher Investments from 2013 to 2020. Sandhill Investment Management serves individual and high-net-worth investors, institutions, retirement plans, and trusts, offering portfolio management, model delivery for UMA programs, sub-advisory services, and retirement plan consulting. The firm’s research-driven investment process focuses on fundamental analysis and long-term equity positions, and it provides access to alternative investments for accredited clients.
Jason F
Series 65
New Milford, CT
Core Planning
Jason Fedak is a Series 65-licensed financial advisor with Core Planning in New Milford, CT, where he has worked since 2021. He has five years of experience in the financial industry and concurrently serves as a Physician Assistant at New Milford Hospital, a role he has held since 2018. Prior to joining Core Planning, he worked in emergency and urgent care settings for over a decade. Core Planning provides fee-based financial planning and wealth management services to individuals, retirement plans, trusts, estates, charitable organizations, and business entities. The firm customizes investment strategies based on client goals and risk tolerances, utilizing a mix of in-house advice, third-party money managers, and model portfolios.
Randy B
Series 63, Series 65
Roxbury, CT
Choreo, LLC
Randy Beeman is a financial advisor at Choreo, LLC with 27 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Glass Jacobson Wealth Advisors, Yhb Wealth Advisors LLC, Direct 2 Consumer Marketing LLC, and RSR Group of Virginia LLC. Choreo provides investment and advisory services to a diverse client base including individual investors, family offices, endowments, foundations, retirement plans, charitable organizations, and corporate clients. The firm’s investment approach emphasizes strategic asset allocation and diversified model portfolios managed by a centralized team and overseen by an Investment Committee.
John O
Series 63, Series 65
Brookfield, CT
Westminster Financial Advisory Corp
John Obrien is a financial advisor with Westminster Financial Advisory Corp in Brookfield, CT, holding Series 63 and Series 65 licenses and bringing 33 years of industry experience. He previously worked at Lincoln Financial Advisors Corp for 15 years before joining Westminster Financial Securities, Inc. in 2018. Obrien is also licensed as an insurance agent, offering various insurance products including health, disability, and life insurance. Westminster Financial Advisory Corporation provides investment supervisory services and financial planning to individuals, families, trusts, and small businesses. The firm emphasizes a diversified, multi-asset class investment approach with a buy-and-hold strategy supplemented by tactical adjustments based on market conditions.
Daniel J
Series 63, Series 66, Series 65
New Milford, CT
Summit Financial, LLC
Daniel Jonker is a financial advisor at Summit Financial, LLC with 29 years of industry experience. He holds Series 63, Series 65, and Series 66 licenses. His prior experience includes roles at JPMorgan Chase Bank and Fieldpoint Private Securities. Jonker also refers clients to Fieldpoint Private Bank for lending services. Summit Financial, LLC is a multi-team SEC-registered advisory firm managing approximately $26.35 billion in assets for around 17,800 clients. The firm offers both discretionary and consultative investment management programs, financial planning, and retirement plan advisory services.
Matthew T
CFP®, CFA®
Litchfield, CT
Advisors Capital Management, LLC
Matthew Terzian is a CFP® and CFA® with 13 years of industry experience. He is currently with Advisors Capital Management, LLC and has prior experience at Northwest Community Bank, Litchfield Bancorp, and Resources Management Corp. Outside of advisory work, he holds a 25% ownership stake in four apartment buildings in Texas. Advisors Capital Management serves individuals, employee benefit plans, and clients of unaffiliated broker-dealers and registered investment advisers, providing discretionary portfolio management through customized private accounts, model strategies, and self-directed brokerage solutions. The firm combines top-down macro analysis with bottom-up security selection across various asset classes and manages over $8 billion in discretionary assets.
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155 advisors near
06776
within the area shown on the map
Out of 400,000+ nationwide