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Joaquin W

Series 63, Series 65

Oakley, CA

Seven Stages Wealth LLC

Joaquin Wallace is a financial advisor with Seven Stages Wealth LLC, holding Series 63 and Series 65 licenses and bringing 10 years of industry experience. His background includes roles at Prudential Financial Planning Services, Penn Mutual, and LPL Enterprise. He also serves as an adjunct instructor at Golden Gate University and engages in media and consulting activities outside of his advisory work. Seven Stages Wealth LLC advises individuals, high-net-worth clients, and businesses, providing discretionary investment management along with written financial planning and consulting. The firm builds portfolios primarily with low-cost, diversified mutual funds and ETFs, employing a long-term investment approach centered on strategic asset allocation informed by fundamental and behavioral analysis.

Wealth management Tax-loss harvesting General retirement planning
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Leslie W

Series 63, Series 65

Iselton, CA

Wolfson Wealth Management

Leslie Wolfson is a financial advisor at Wolfson Wealth Management with 28 years of industry experience. She holds Series 63 and Series 65 licenses and has worked at Delta Brokers since 2011 alongside her role at Wolfson Wealth Management, which she joined in 2010. Outside of her advisory work, she owns a real estate brokerage that operates independently of her financial services. Wolfson Wealth Management serves individual and high-net-worth clients with discretionary asset management and financial planning, offering tailored portfolios that include a variety of securities and investment strategies. The firm combines fundamental, technical, and cyclical analysis, employing approaches from long-term holdings to short-term trading and options transactions.

Options & derivatives strategies Active portfolio management Passive / index investing
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Glenn W

Series 65

Isleton, CA

Wolfson Wealth Management

Glenn Wolfson is a Series 65-licensed advisor with 14 years of industry experience, currently serving clients through Wolfson Wealth Management and Delta Brokers. He also works as a solutions consultant for Ceridian, focusing on HR, payroll, and tax filing services. Wolfson Wealth Management provides discretionary asset management and financial planning services to individual and high-net-worth clients, utilizing a combination of fundamental, technical, and cyclical analysis across various investment strategies. The firm offers personalized investment plans and retirement reviews, with portfolios regularly monitored and rebalanced to meet clients’ objectives and risk tolerances.

Options & derivatives strategies Active portfolio management Passive / index investing
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Daniel M

CFP®, Series 63

Stockton, CA

DKM Wealth Management, Inc.

Daniel Miladinovich is a CFP® with 10 years of experience in the financial industry. He is currently an advisor at DKM Wealth Management, Inc., where he has worked since 2021. Prior to this, he held roles at Litman Gregory Asset Management, LLC and Northwestern Mutual in various capacities from 2014 to 2021. DKM Wealth Management provides discretionary portfolio management and financial consulting to individuals, high-net-worth clients, pension and profit-sharing plans, and small businesses. The firm uses a discovery process to tailor portfolios based on client objectives and risk tolerance, employing fundamental analysis and a mix of investment strategies with ongoing monitoring and rebalancing.

Wealth management Retirement income strategy Real estate investing
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Geoffrey P

CFP®, ChFC®, Series 63, Series 65

Stockton, CA

RSG Financial Group Inc

Geoffrey Peterson is a CFP® and ChFC® with 22 years of experience in the financial services industry. He has worked at RSG Financial Group, Inc. and Dutcher Insurance since 2008 and previously at Quest Capital Strategies, Inc. from 2004 to 2008. In addition to advisory work, he spends some time marketing and administering insurance products as an agent. RSG Financial Group, Inc. provides financial planning, investment supervisory services, and retirement plan consulting to individuals and organizations. The firm emphasizes individualized investment policies, asset allocation, and uses third-party platforms for implementation and custody, including formal affiliations with a CPA practice and an affiliated insurance company.

Retirement income strategy Social Security optimization General tax planning College savings (529s, UTMA, etc.) Self-Employed Executive
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Zachary W

CFP®, Series 66

Stockton, CA

DKM Wealth Management, Inc.

Zachary Welz is a CFP® and holds a Series 66 license with three years of industry experience. He is currently an advisor at DKM Wealth Management, Inc. and previously worked at Fidelity Investments. Outside of finance, he has been involved with sports organizations including Fan Controlled Football and several minor league baseball teams. DKM Wealth Management provides discretionary portfolio management and financial consulting to individuals, high-net-worth clients, pension and profit-sharing plans, and small businesses. The firm uses a discovery process to tailor portfolios based on client objectives and risk tolerance, employing fundamental analysis and a blend of long- and short-term strategies with ongoing monitoring and rebalancing.

Wealth management Retirement income strategy Real estate investing
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Benton P

Series 65

Stockton, CA

RSG Financial Group Inc

Benton Peterson is a financial advisor with RSG Financial Group Inc in Stockton, CA. He holds a Series 65 designation and has recently entered the industry. Prior to his advisory role, he has worked in various positions including at Lodi Unified School District and British Swim School's of America. He is also an independent insurance agent operating a small side business. RSG Financial Group, Inc. provides investment supervisory services and portfolio management to individuals and businesses, utilizing both discretionary and non-discretionary approaches. The firm develops individualized investment policies through client interviews and employs a combination of fundamental and technical analysis, asset allocation, and mutual fund/ETF evaluation.

Retirement income strategy Social Security optimization General tax planning College savings (529s, UTMA, etc.) Self-Employed Executive
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Taylor W

CFP®, PFS™

Stockton, CA

DKM Wealth Management, Inc.

Taylor Welz is a Certified Financial Planner™ (CFP®) and Personal Financial Specialist™ (PFS™) with 28 years of industry experience. He is currently with DKM Wealth Management, Inc., where he has worked since 2022. His prior experience includes roles at LG Asset Management, Litman Gregory Asset Management, and running Welz Financial Services, Inc. for over a decade. DKM Wealth Management provides discretionary portfolio management and financial consulting to individuals, high-net-worth clients, pension and profit-sharing plans, and small businesses. The firm uses a discovery process to tailor portfolios based on clients’ investment objectives, risk tolerance, tax considerations, and liquidity needs, employing fundamental analysis and a mix of long- and short-term strategies with ongoing monitoring and rebalancing.

Wealth management Retirement income strategy Real estate investing
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Richard V

Series 63, Series 65

Pittsburg, CA

Lifemark Securities Corp.

Richard Von Hurst is a financial advisor at LifeMark Securities Corp. with 33 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at LifeMark since 2018, following prior roles at Foresters Equity Services, Inc. and as an independent insurance agent. LifeMark Securities Corp. offers fee-based investment advisory services and financial planning primarily to individual investors and sponsors of participant-directed retirement plans. The firm emphasizes suitability-driven advice with risk assessments and manages accounts on both discretionary and non-discretionary bases, utilizing various managed account programs and platform tools.

Annuities Retirement plans for business owners (SEP, solo 401k) Wealth management
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Dennis G

ChFC®, Series 66

Stockton, CA

ON Investment Management CO

Dennis Goldstrand is a ChFC® and Series 66 credentialed financial advisor with 48 years of industry experience. He has been associated with ON Investment Management Company since 2001 and has held roles with American Express Corporate Services, The O.N. Equity Sales Company, Augustar Financial, Goldstrand Planning Group, and Goldstrand Financial & Insurance Services. Outside of his advisory work, he is the owner of Goldstrand Planning Group, providing fee-based investment advisory and financial planning services. ON Investment Management Company (ONIMCO) is a SEC-registered investment adviser and subsidiary of The O.N. Equity Sales Company, offering financial planning, portfolio management, and retirement-plan advisory services to individuals, families, trusts, charitable organizations, businesses, and ERISA plan sponsors. The firm utilizes a mix of discretionary and non-discretionary management approaches and maintains a dual-registration model supporting broker-dealer activities.

General retirement planning Retirement income strategy College savings (529s, UTMA, etc.)
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Amaya F

Series 65

Antioch, CA

MissionSquare Retirement

Amaya Fine is a financial advisor at MissionSquare Retirement in Antioch, CA, holding a Series 65 designation with six years of industry experience. Prior to joining MissionSquare, Amaya worked at Regas Group Environmental Consultants and The Restoration CleanUp Company. MissionSquare Retirement serves state and local government employers, employees, and certain non-profit entities by administering deferred compensation and qualified retirement plans, offering plan administration, recordkeeping, education, and Guided Pathways Advisory Services. Guided Pathways includes discretionary Managed Accounts and nondiscretionary Fund Advice, with investment advice developed by Morningstar Investment Management based on asset allocation models and personalized financial information.

General retirement planning Retirement income strategy Retirement withdrawal strategies Income planning
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Joie H

Series 65

Oakley, CA

Northwest Asset Management

Joie Hurtado Wyatt is a financial advisor at Northwest Asset Management with one year of industry experience. She holds the Series 65 designation and has previously worked at Absolute Independent Living Service, Uber, and Athens Administrators. Northwest Asset Management serves individuals, including high-net-worth clients, as well as pension and profit-sharing plans, charitable organizations, and other institutional clients. The firm employs investment strategies based on strategic asset allocation and Modern Portfolio Theory, offering customized investment management, retirement and financial planning, consulting, tax preparation, and sub-advisory services.

Retirement income strategy Wealth management Active portfolio management Founder/Business Owner
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Nancy H

CFP®, Series 63

Pittsburg, CA

Lifemark Securities Corp.

Nancy Hairsine is a CFP®-certified financial advisor with 37 years of industry experience. She has worked with Lifetime Planning dba for 18 years and has been an independent insurance agent for over 26 years. She serves as a board member of the Pittsburg Chamber of Commerce. Nancy works with Lifemark Securities Corp., a multi-team firm serving individual investors and sponsors of participant-directed retirement plans. The firm offers fee-based investment advisory services and financial planning, utilizing programs such as Unified Managed Accounts and Separately Managed Accounts tailored to client suitability and risk assessments.

Annuities Retirement plans for business owners (SEP, solo 401k) Wealth management
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Christopher L

Series 63, Series 65

Pittsburg, CA

Lifemark Securities Corp.

Christopher Logue is a financial advisor with Lifemark Securities Corp. in Pittsburg, CA, holding Series 63 and Series 65 licenses and bringing 29 years of industry experience. He has worked at Lifemark Securities since 2018 and previously spent seven years at Foresters Equity Services, along with running Logue Asset Management since 2000. Outside of his advisory role, he serves on the Housing Loan Advisory Committee for the city of Oroville. Lifemark Securities Corp. provides fee-based investment advisory and financial planning services primarily to individual investors and sponsors of participant-directed retirement plans, offering a range of portfolio management options and tailored advice based on risk assessments.

Annuities Retirement plans for business owners (SEP, solo 401k) Wealth management
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Jaspreet A

Series 63, Series 65

Stockton, CA

INTELLICENTS INVESTMENT SOLUTIONS INC

Jaspreet Aujla is a financial advisor with INTELLICENTS INVESTMENT SOLUTIONS INC and holds Series 63 and Series 65 designations. He has one year of industry experience and previously worked at CalSTRS, J.P. Morgan Securities, JPMorgan Chase Bank, and Heritage Community Credit Union. Intellicents Investment Solutions Inc. serves retirement plan sponsors, third-party administrators, HSA/VEBA account sponsors, individual clients, charitable institutions, foundations, and municipalities. The firm emphasizes long-term, buy-and-hold investment strategies with periodic rebalancing and offers both discretionary and non-discretionary wealth management solutions.

Founder/Business Owner Retired
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Tolen T

CFP®, CFA®, ChFC®, Series 66

Stockton, CA

INTELLICENTS INVESTMENT SOLUTIONS INC

Tolen Teigen is a financial advisor at Intellicents Investment Solutions Inc. with 23 years of industry experience. He holds the CFP®, CFA®, ChFC®, and Series 66 designations. His prior experience includes roles at Findec Wealth Services, Inc. and Western Associates Insurance Services. Intellicents Investment Solutions Inc. serves retirement plan sponsors, individual clients, and various institutions, offering retirement plan consulting, wealth management, and a wrap fee program. The firm employs a long-term, buy-and-hold investment approach with oversight from a CFA-designated Chief Investment Officer.

Founder/Business Owner Retired
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Roger T

CFP®

Pittsburg, CA

Core Planning

Roger Tran is a CFP® with six years of industry experience, currently serving as an investment advisor representative at Core Planning in Pittsburg, CA. His previous roles include positions at Facet Wealth, Wells Fargo, and Ginsburg Financial Advisors, among others. He has also been affiliated with the Oakland Vietnamese Chamber of Commerce. Core Planning provides fee-only financial planning and wealth management services primarily for individual and high-net-worth clients, offering both discretionary and non-discretionary account management through tailored investment strategies and the use of third-party model portfolios and automated rebalancing tools.

Retirement income strategy
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Christopher S

CFP®, Series 63, Series 65

Bethel Island, CA

Sequent Planning, LLC

Christopher Sullivan is a CFP® professional with 40 years of industry experience. He is currently with Sequent Planning, LLC and Futurity First Investment Group, having previously worked at Mutual of Omaha and Mutual of Omaha Investor Services, Inc. Outside of his advisory work, Sullivan serves as the volunteer President of Discovery Bay Recreation & Sports, Inc., a nonprofit association. Sequent Planning, LLC operates as an SEC-registered investment adviser serving individuals, retirement plan sponsors, businesses, endowments, and nonprofits. The firm utilizes a structured risk framework and diversified manager exposures while providing asset management, financial planning, and retirement-plan services through a team of independent advisers.

Retirement income strategy Roth conversion strategy Equity compensation tax strategy Retirement plans for business owners (SEP, solo 401k) Options & derivatives strategies Founder/Business Owner Executive
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Kevin S

Series 63, Series 65

Stockton, CA

BFC PLANNING, Inc.

Kevin Schneider is a financial advisor at BFC Planning, Inc. with 47 years of industry experience. He has held positions at Wells Fargo Clearing and Prudential Equity Group, LLC prior to joining BFC Planning in 2017. Schneider is a member of the San Joaquin Estate Planning Council, a group consisting of professionals involved in estate planning. BFC Planning, Inc. provides financial planning, asset management, and referral-based outside money manager services to a diverse client base, including individuals, corporations, pensions, trusts, and banks. The firm supports over 11,000 client relationships and emphasizes flexible fee arrangements and a variety of investment platforms.

Concentrated stock management Options & derivatives strategies Real estate investing
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Nicholas H

Series 63, Series 66

Stockton, CA

PNC Wealth Management

Nicholas Hagan is a financial advisor with PNC Wealth Management in Stockton, CA, holding Series 63 and Series 66 licenses and bringing 12 years of industry experience. His prior roles include positions at Bank of America, Merrill, Fidelity Investments, J.P. Morgan Securities, Wells Fargo Advisors, and CitiGroup. Outside of advisory work, he is involved in managing a non-investment-related condo rental business. PNC Wealth Management offers retail brokerage and advisory services through model-based programs, including an invitation-only digital discretionary model account for employees that uses algorithm-driven risk assessments and third-party managed strategies primarily employing mutual funds and ETFs.

Passive / index investing Active portfolio management Wealth management Executive
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