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Dory R

CFP®, Series 66

Downers Grove, IL

Apollon Financial, LLC

Dory Rodriguez is a financial advisor with Apollon Financial, LLC, holding CFP® and Series 66 credentials and bringing 25 years of industry experience. Prior to joining Apollon Financial in 2024, he worked at LPL Financial and HighPoint Advisor Group LLC. He has additional business activities that include sales of non-variable insurance products. Apollon Financial, LLC is an SEC-registered advisory firm serving individuals, families, family offices, trusts, estates, businesses, and retirement plans. The firm manages approximately $1.45 billion through a team of 16 advisors and offers financial planning, portfolio management, retirement-plan advisory, and access to private and alternative investments using a combination of centrally managed models, advisor-led portfolios, and sub-advisers.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Self-Employed Founder/Business Owner Executive
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Robert T

CFP®, Series 63

Oakbrook Terrace, IL

Harvest investment Services, LLC

Robert Thompson is a CFP® professional with 37 years of industry experience. He is currently with Harvest Investment Services, LLC and Midland States Bank and has prior experience at Fifth Third Bank and Concourse Financial Group Securities Inc. Outside of his advisory work, Thompson serves as Board President-Chair of the Oak Lawn Public Library Foundation and is a board member and consultant for Virtu Broadband LLC, providing guidance on growth and development. Harvest Investment Services provides advisory services to individuals, retirement plans, trusts, and institutions through discretionary portfolio management, financial planning, and other consulting services. The firm uses a combination of customized portfolios and model-based strategies, incorporating active tactical approaches and multiple analysis methods, and supports plan sponsors as an ERISA investment manager when engaged.

Active portfolio management Options & derivatives strategies Private / alternative investments Founder/Business Owner
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Brenton N

Series 65

Oakbrook Terrace, IL

Harvest investment Services, LLC

Brenton Newell is a Series 65-licensed financial advisor with Harvest Investment Services, LLC, where he has worked since 2015. He has three years of industry experience and has held positions at Wheaton College, Visionworks, Evangel University, College of DuPage, CYT Chicago, and Newell Christian Academy High School. Harvest Investment Services, LLC provides portfolio management, financial planning, and consulting services to a diverse client base, including individuals, retirement plans, trusts, and corporations. The firm employs a multi-advisor team approach and offers tailored investment strategies that incorporate fundamental, technical, and cyclical analysis, alongside specialized services such as ERISA 3(38) management and held-away 401(k) account oversight.

Active portfolio management Options & derivatives strategies Private / alternative investments Founder/Business Owner
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John K

CFP®, Series 65

Downers Grove, IL

Capstone Financial Advisors Inc

John Koenig is a CFP® and holds a Series 65 license with eight years at Capstone Financial Advisors Inc and a total of four years in the industry. Prior to joining Capstone, he worked at Heritage Wealth Architects, LLC for two years and was a part-time student for one year. Capstone Financial Advisors serves individuals, including high-net-worth clients, pension and profit-sharing plans, trusts, charitable organizations, and corporate clients. The firm offers portfolio management and financial planning with an investment process that emphasizes asset-class allocation, cost control, and tax positioning, managing approximately $2.44 billion in client assets across a multi-advisor team.

Private / alternative investments Options & derivatives strategies Tax-loss harvesting General tax planning College savings (529s, UTMA, etc.) Founder/Business Owner Retired
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Tyler Q

CFP®, Series 66

Oakbrook, IL

Rothschild Wealth LLC

Tyler Qualio is a CFP® with 25 years of experience in the financial industry, currently serving at Rothschild Wealth LLC. His career includes roles at Rothschild Investment LLC, Halo Securities, and Ausdal Financial Partners. He is a board member of the Will County Community Foundation, where he participates in charitable grants and advisory activities. Rothschild Wealth LLC provides investment advisory and financial planning services to individuals, corporate executives, trusts, retirement plans, and institutional clients, using asset-allocation models supported by quantitative analysis and third-party platforms.

Retirement income strategy Tax strategies for small businesses Business exit / sale strategy Concentrated stock management Options & derivatives strategies Executive Founder/Business Owner
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Brandon H

Series 63, Series 65

Chicago, IL

Pekin Hardy Strauss, Inc.

Brandon Hardy is a financial advisor at Pekin Hardy Strauss, Inc. in Chicago, IL, with 24 years of industry experience. He has been with Pekin Singer Strauss Asset Management since 1997. Hardy holds the Series 63 and Series 65 designations. Pekin Hardy Strauss, Inc. provides investment management, financial planning, and retirement plan services to individuals, pension and retirement plans, registered investment companies, charitable organizations, and corporations. The firm employs a fundamental analysis and asset allocation approach that incorporates ESG factors and utilizes a variety of instruments, including derivatives, to manage income and risk.

ESG / Sustainable investing Options & derivatives strategies Concentrated stock management
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Daniel F

ChFC®, Series 63

Hinsdale, IL

Apollon Financial, LLC

Daniel Foxen is a financial advisor at Apollon Financial, LLC with 39 years of industry experience. He holds the ChFC® and Series 63 designations. His prior experience includes roles at LPL Financial and The New England. Outside of advisory work, he is involved in life and long-term care insurance sales through Foxen Financial, Inc. Apollon Financial is an SEC-registered advisory firm serving individuals, families, businesses, and retirement plans. The firm manages approximately $1.45 billion through a team of 16 advisors, combining centrally managed model strategies with locally led portfolios and sub-advisers. Its investment approach includes ESG risk-based models, Direct Indexing, tax-aware techniques, and access to private and alternative investments.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Self-Employed Founder/Business Owner Executive
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Paul L

Series 63, Series 65

Hinsdale, IL

Indivisible Partners

Paul Lambert is a financial advisor with Indivisible Partners, holding Series 63 and Series 65 licenses and bringing 31 years of industry experience. He previously worked at Merrill for 30 years and also serves as a consultant for Bates Group LLC. Lambert holds leadership roles in nonprofit organizations, including chairing the emeritus board of Chicago Run and serving on the executive and membership committees of Bras Coupe. Indivisible Partners is an SEC-registered advisory firm serving individuals, high-net-worth clients, trusts, charitable organizations, and businesses. The firm offers discretionary and non-discretionary portfolio management, financial planning, and third-party investment manager selection through a strategic asset allocation framework and a range of active, passive, and blended investment approaches.

Passive / index investing Active portfolio management Tax-loss harvesting Private / alternative investments Options & derivatives strategies Founder/Business Owner Retired Executive
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Eric K

Series 63, Series 65

Chicago, IL

North Star Investment Management Corporation

Eric Kuby is a financial advisor with North Star Investment Management Corporation in Chicago, IL, holding Series 63 and Series 65 licenses and bringing 42 years of industry experience. He has worked at North Star since 2004 and previously held positions at NewEdge Securities and Wells Fargo Clearing. He is also an investment committee member at Regal Investment Advisors LLC. North Star Investment Management Corporation serves individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, corporations, and other entities. The firm provides discretionary portfolio management, financial planning, family office services, and manages approximately $2.5 billion in assets, often allocating client assets into its own mutual funds.

Tax-loss harvesting Concentrated stock management Wealth management Business succession planning Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Jack R

CFP®, Series 65

Oakbrook, IL

Rothschild Wealth LLC

Jack Rafferty is a CFP® and holds a Series 65 license with three years of industry experience. He is currently with Rothschild Wealth LLC, where he has worked since 2024, following prior roles at Wipfli Financial Advisors/Creative Planning and William Blair. Rothschild Wealth LLC provides investment advisory and financial planning services to individuals, corporate executive groups, trusts, retirement plans, and other institutional clients. The firm employs asset-allocation models based on client questionnaires and quantitative analysis, implementing strategies through mutual funds, ETFs, individual securities, and sub-advisers.

Retirement income strategy Tax strategies for small businesses Business exit / sale strategy Concentrated stock management Options & derivatives strategies Executive Founder/Business Owner
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Guadalupe L

CFP®, Series 63

Alsip, IL

Audible Wealth Management

Guadalupe Lechuga is a CFP®-certified financial advisor at Audible Wealth Management with four years of industry experience. Prior to joining Audible Wealth in 2025, Lechuga worked at Northwestern Mutual in various roles from 2019 to 2025 and has experience with WilsonHCG. Audible Wealth Management serves individual clients, including high-net-worth households, business development clients, and retirement plans by providing financial planning and portfolio management services. The firm employs a multifaceted investment approach and offers distinctive operational features such as a wrap-fee program, bill-pay services, and educational seminars.

Income planning Annuities Retirement plans for business owners (SEP, solo 401k) Options & derivatives strategies Founder/Business Owner Executive
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Andrew B

Series 65

Oakbrook Terrace, IL

Harvest investment Services, LLC

Andrew Barlow is a financial advisor at Harvest Investment Services, LLC with three years of industry experience. He holds a Series 65 designation and is a partner at Harvesting Kingdom Resources, a private equity fund sponsor where he manages fund administration and investor relations. His work history also includes roles at Envoy Financial and Brand Champions. Harvest Investment Services, LLC provides discretionary and non-discretionary portfolio management, financial planning, and consulting services to a diverse client base including individuals, retirement plans, trusts, and institutions. The firm employs an actively managed tactical investment approach and offers specialized services such as ERISA 3(38) investment management and held-away 401(k) account oversight.

Active portfolio management Options & derivatives strategies Private / alternative investments Founder/Business Owner
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Ronald R

CFP®, Series 66

La Grange, IL

Horizon Wealth Management

Ronald Reitz Jr. is a CFP® professional with six years of industry experience, currently serving as an advisor at Horizon Wealth Management. Prior to joining Horizon, he held roles at LPL Financial, Capital Analysts, Lincoln Investment, and Equitable Advisors, among others. Horizon Wealth Management is an SEC-registered advisory firm that provides financial planning and discretionary investment management services to individuals, high-net-worth clients, trusts, estates, businesses, charitable organizations, and retirement plans. The firm employs a primarily long-term, fiduciary investment approach, utilizing diversified portfolios and ongoing portfolio monitoring.

Active portfolio management Retirement plans for business owners (SEP, solo 401k) Wealth management Founder/Business Owner Executive
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Kyle D

Series 66

Oakbrook, IL

Rothschild Wealth LLC

Kyle Depasquale is a financial advisor at Rothschild Wealth LLC with 16 years of industry experience. He holds the Series 66 designation and has worked at firms including Goldman Sachs Wealth Services and Ausdal Financial Partners. He is also involved with Sentinus Insurance Services in Oakbrook, IL, where he dedicates time to insurance sales. Rothschild Wealth LLC provides investment advisory and financial planning services to individuals, corporate executive groups, trusts, retirement plans, and other institutional clients. The firm’s investment process focuses on asset-allocation models based on client questionnaires and quantitative analysis, implemented through a variety of securities and external sub-advisers.

Retirement income strategy Tax strategies for small businesses Business exit / sale strategy Concentrated stock management Options & derivatives strategies Executive Founder/Business Owner
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Benjamin W

Series 63, Series 65

Oak Brook, IL

Chicago Oakbrook Financial Group

Benjamin Wozniak is a financial advisor at Chicago Oakbrook Financial Group with 43 years of industry experience. He has held positions at Commonwealth Financial Network, LPL Financial, and Mutual Service Corporation. Wozniak holds Series 63 and Series 65 licenses. Chicago Oakbrook Financial Group serves individuals, pension and profit-sharing plans, charitable organizations, and businesses. The firm provides customized wealth management, discretionary portfolio management, comprehensive financial planning, and retirement plan consulting using a broad range of investment strategies and securities.

Options & derivatives strategies Retirement income strategy Business succession planning Concentrated stock management Wealth management Founder/Business Owner Retired Executive
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Richard L

Series 66

Chicago, IL

Serenity Investment Advisors

Richard Little is a financial advisor at Serenity Investment Advisors in Chicago, IL, with 16 years of industry experience. He holds the Series 66 designation and has previously worked at Kingsview Asset Management and Edward Jones. He is also an independent insurance agent specializing in life insurance. Serenity Wealth Management provides fee-based investment advisory and financial planning services to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporations. The firm employs a tactical allocation approach supported by fundamental analysis and proprietary model portfolios tailored to client risk profiles.

Private / alternative investments Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Active portfolio management Founder/Business Owner Executive
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Jacqueline S

Series 66

Chicago, IL

Rothschild Investment LLC

Jacqueline Sedlak is a financial advisor at Rothschild Investment LLC in Chicago, IL, with 15 years of industry experience. She holds a Series 66 designation and has worked at Rothschild Wealth, LLC, Rothschild Investment, LLC, Hightower Advisors, William Blair, and Wintrust Investments. Rothschild Investment LLC provides investment advisory and financial planning services to individuals, trusts, corporations, pension and profit-sharing plans, and other institutional clients. The firm uses client-specific asset allocation models and incorporates quantitative analysis and third-party tools in its portfolio management and retirement plan consulting services.

Private / alternative investments Liquidity event planning Business exit / sale strategy Founder/Business Owner Executive
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Arielle H

Series 66

Chicago, IL

Rebellion Asset Management, LLC

Arielle Hannan is a financial advisor at Rebellion Asset Management, LLC in Chicago, IL, holding a Series 66 designation with 10 years of industry experience. She has been with Rebellion Asset Management since 2016. Outside of her advisory role, she serves as an investment education consultant for project management, operations, general office management, and event planning. Rebellion Asset Management is a five-advisor firm providing fee-based investment management and financial planning to families, high-net-worth individuals, trusts, charitable entities, corporations, and other business clients. The firm employs quantitative methods, technical analysis, and options strategies, and also acts as a sub-advisor to independent RIAs and institutional clients.

Options & derivatives strategies Concentrated stock management
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Christos K

Series 65, Series 63

Burr Ridge, IL

MPS-LORIA Financial Planners, LLC

Christos Kyros is a financial advisor at MPS-LORIA Financial Planners, LLC with 15 years of industry experience. He holds Series 63 and Series 65 licenses and has been with MPS-LORIA since 2006. Outside of advisory services, he has worked as an independent licensed insurance agent specializing in life insurance. MPS-LORIA Financial Planners serves individuals, corporations, pension and profit-sharing plans, charitable organizations, estates, and trusts. The firm employs a predominantly discretionary investment approach focused on diversified allocations using no-load mutual funds and ETFs, supported by quantitative screening and research from Fiducient Advisors.

Wealth management Retirement plans for business owners (SEP, solo 401k)
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Benjamin W

ChFC®, Series 63, Series 65

Lombard, IL

Hunter Capital Management

Benjamin Wilson is a financial advisor at Hunter Capital Management with 23 years of industry experience. He holds the ChFC® designation along with Series 63 and Series 65 licenses. Prior to joining Hunter Capital Management in 2020, he worked at PWMCO, LLC for 11 years. Hunter Capital Management is an SEC-registered investment adviser that serves high-net-worth individuals, pooled investment vehicles, and institutional clients. The firm manages assets across separate accounts, a mutual fund, and private pooled vehicles, employing a value-oriented equity strategy and utilizing a commodity subadviser within one private fund.

Wealth management Private / alternative investments Founder/Business Owner Executive
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