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Eric T

Series 65, Series 66

Barrington, IL

Apollon Wealth Management, LLC

Eric Talbott is a financial advisor at Apollon Wealth Management, LLC with 10 years of industry experience. He holds Series 65 and Series 66 registrations and has previously worked at Piershale Financial Group, Envestnet Asset Management, BMO Harris Financial Advisors, and Portfolio Brokerage Services. Apollon Wealth Management serves individuals, high-net-worth clients, families, businesses, and various institutional investors, providing financial planning, portfolio management, retirement plan advisory, and sub-advisory services. The firm uses a combination of centrally managed model strategies and locally managed portfolios, investing across multiple asset classes and offering specialized services including ESG models and tax-managed Direct Indexing.

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

Series 66

St. Charles, IL

Harbour Investments, Inc.

Lawrence Kimmel Jr. is a financial advisor at Harbour Investments, Inc. with 28 years of industry experience. He holds a Series 66 designation and has worked at Harbour since 2018, following nine years at Ausdal Financial Partners and over three decades running his own CPA and tax preparation firm. He also maintains an active role as president of Lawrence J. Kimmel, P.C., providing accounting and tax services. Harbour Investments offers investment advisory and financial planning services to a diverse client base including individuals, charitable and corporate clients, and retirement plans. The firm uses a combination of fundamental and technical analysis to develop customized investment strategies and provides various portfolio management and model-based solutions.

Annuities Options & derivatives strategies
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Keith M

CFP®, ChFC®, Series 63, Series 65

South Barrington, IL

VestGen Advisors, LLC

Keith Mooney is a CFP® and ChFC® with 31 years of industry experience. He is currently an advisor at VestGen Advisors, LLC and has previously worked at firms including LPL Financial and Sequoia Wealth Management. Outside of his advisory role, he serves as president and educator for a nonprofit that conducts financial education seminars. VestGen Advisors, LLC is a multi-team registered investment adviser managing approximately $3.47 billion for over 9,400 clients. The firm serves individual and high-net-worth clients with discretionary and non-discretionary investment management, financial planning, and retirement plan services, employing a mix of analytical methods and third-party managers to implement client portfolios.

Wealth management Retirement plans for business owners (SEP, solo 401k) Tax-loss harvesting Equity compensation tax strategy Founder/Business Owner Executive
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Michael S

Series 63, Series 65

Geneva, IL

Gradient Advisors, LLC

Michael Seidler is a financial advisor with Gradient Advisors, LLC, holding Series 63 and Series 65 credentials and eight years of industry experience. He has worked previously at Bankers Life and Bankers Life Securities, and currently also serves as an associate and investment advisor representative at Burling Wealth Advisors Inc. in addition to his role at Gradient Advisors. Gradient Advisors, LLC provides investment management, financial planning, and consulting services to individuals, retirement plans, trusts, estates, charitable organizations, corporations, and other business entities. The firm operates primarily through a network of investment advisor representatives and third-party money managers, employing a largely non-discretionary model that incorporates fundamental, technical, and cyclical analysis in portfolio construction.

Retirement income strategy General tax planning
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Alan F

Series 66, Series 63

Elgin, IL

Eagle Strategies (NY Life)

Alan Flota is a financial advisor with Eagle Strategies (NY Life) based in Elgin, IL. He holds Series 66 and Series 63 licenses and has two years of industry experience. Before entering the financial industry, he worked for over three decades at School District U-46. Eagle Strategies serves a diverse range of individual and institutional clients by providing financial planning, investment management, and retirement-plan advisory services. The firm offers multiple program types and primarily manages assets on a non-discretionary basis, working closely with both retail and institutional sponsors within an integrated New York Life affiliate structure.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy General retirement planning Retirement income strategy Founder/Business Owner Executive
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David H

Series 63, Series 65

Wheaton, IL

Benjamin F. Edwards & Company, Inc.

David Hanson is a financial advisor with Benjamin F. Edwards & Company, Inc., holding Series 63 and Series 65 credentials and bringing 46 years of industry experience. He has been with Benjamin F. Edwards since 2010. Outside of his advisory role, Hanson is a minority partner in a partnership involved in land ownership, farming, and wetland creation, and he owns a farm property management business in Wheaton, IL. Benjamin F. Edwards & Company is an SEC-registered adviser and broker-dealer serving individuals, institutions, and retirement plans through various fee-based wrap programs and investment management services. The firm utilizes a range of model strategies and portfolios, combined with both discretionary and non-discretionary management, supported by an internal trading desk and a centralized Investment Strategy Committee.

Private / alternative investments Tax-loss harvesting Passive / index investing Active portfolio management Retirement plans for business owners (SEP, solo 401k) Executive Founder/Business Owner
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Brandi R

Series 63, Series 65

Schaumburg, IL

Independent Financial Group, LLC

Brandi Ruffalo is a financial advisor with Independent Financial Group, LLC, holding Series 63 and Series 65 licenses and bringing 24 years of industry experience. She has been with Independent Financial Group since 2009 and is the owner of The Business Development Company, which provides administrative and bookkeeping services. Ruffalo is also involved in business valuation and forensic consulting through Valuation & Forensic Partners, LLC. Independent Financial Group, LLC is a dual-registered broker-dealer and SEC-registered investment adviser serving individuals, charities, corporations, and plan sponsors. The firm offers brokerage, portfolio management, financial planning, and retirement plan services through a national network of Investment Adviser Representatives and utilizes multiple advisory platforms and third-party asset managers.

Wealth management Passive / index investing Active portfolio management Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Justin W

CFP®, Series 66

Saint Charles, IL

FIFTH THIRD SECURITIES, Inc.

Justin Wilson is a CFP® with 21 years of industry experience, currently serving at Fifth Third Securities, Inc. since 2006. He also has concurrent experience with Fifth Third Bank over the same period. Fifth Third Securities provides brokerage and investment advisory services through its Passageway Managed Account Program to individuals, charitable organizations, corporate clients, and institutional investors. The firm combines its municipal-advisor registration with a corporate affiliation to a large bank, offering multiple discretionary managed-account options, including direct indexing and tax-overlay services.

Passive / index investing Tax-loss harvesting ESG / Sustainable investing General retirement planning
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Scott F

Series 63, Series 66

Bartlett, IL

FIFTH THIRD SECURITIES, Inc.

Scott Farwell is a financial advisor at Fifth Third Securities, Inc. with 17 years of industry experience. He holds Series 63 and Series 66 licenses and has worked at Fifth Third Securities and Fifth Third Bank since 2022. Prior to that, he was with TD Ameritrade for five years and Edge Financial Advisors for one year. Fifth Third Securities, Inc. provides brokerage and investment advisory services to individuals, charitable organizations, corporate clients, and institutional investors through its Passageway Managed Account Program. The firm offers multiple discretionary managed-account programs combining third-party portfolio managers, strategist portfolios, and advisor-managed sleeves, and is notable for its municipal-advisor registration and affiliation with Fifth Third Bank.

Passive / index investing Tax-loss harvesting ESG / Sustainable investing General retirement planning
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Stacy O

Series 66

Wheaton, IL

Benjamin F. Edwards & Company, Inc.

Stacy O'Brien is a financial advisor with Benjamin F. Edwards & Company, Inc., holding a Series 66 designation and 12 years of industry experience. She previously worked at Morgan Stanley for 11 years before joining Benjamin F. Edwards in 2022. Outside of her advisory role, she is involved in wholesale and distribution sales through Zyia Active. Benjamin F. Edwards & Company is an SEC-registered investment adviser and broker-dealer serving a broad client base, including individuals, pension plans, charitable organizations, and corporations. The firm offers a range of fee-based wrap programs and investment strategies managed by advisors and third parties, supported by comprehensive custody, trading, and operational services.

Private / alternative investments Tax-loss harvesting Passive / index investing Active portfolio management Retirement plans for business owners (SEP, solo 401k) Executive Founder/Business Owner
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Michael M

CFP®, Series 66

Palatine, IL

Private Advisor Group, LLC

Michael McKevitt is a CFP® with 17 years of industry experience, currently serving as an advisor at Private Advisor Group, LLC since 2015. He has also been associated with LPL Financial since 2008. McKevitt operates under the business name Purposeful Wealth, Inc. for providing investment advice through Private Advisor Group. Private Advisor Group, LLC manages over $41 billion across more than 135,000 client relationships, offering services to individuals, trusts, estates, charitable organizations, and corporate and retirement plan clients. The firm provides discretionary and non-discretionary portfolio management, financial planning, retirement consulting, and access to third-party asset management programs, with an investment approach that incorporates asset allocation, fundamental, technical and cyclical analysis, and various strategy time horizons.

Retired Founder/Business Owner
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Thomas L

Series 63, Series 66

Wheaton, IL

Benjamin F. Edwards & Company, Inc.

Thomas Love is a financial advisor at Benjamin F. Edwards & Company, Inc. with three years of industry experience. He previously worked at Invesco and has held various positions including roles at YoungLife, Samaritan's Purse, and Wheaton College. Benjamin F. Edwards & Company is an SEC-registered investment adviser and broker-dealer serving individuals, institutions, and retirement plans through a variety of fee-based wrap programs, financial planning, and investment management services. The firm offers multiple investment strategies monitored by an Investment Strategy Committee and combines custody, execution, and advisory services under one platform.

Private / alternative investments Tax-loss harvesting Passive / index investing Active portfolio management Retirement plans for business owners (SEP, solo 401k) Executive Founder/Business Owner
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Steven W

Series 66

Hoffman Estates, IL

Transamerica Financial Advisors

Steven Whiting II is a Series 66-licensed advisor with Transamerica Financial Advisors and has been in the industry since 2024. His prior experience includes roles at Wfgia, American Airlines Group Inc., National Airlines, FedEx, and United Airlines. Transamerica Financial Advisors serves individual investors, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporations. The firm offers both advisory and broker-dealer services through proprietary and third-party model portfolios, with a range of discretionary and non-discretionary program options.

ESG / Sustainable investing Concentrated stock management Wealth management Founder/Business Owner
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Justin A

CFP®, Series 66

St. Charles, IL

Independent Advisor Alliance, LLC

Justin Ancona is a CFP®-credentialed financial advisor with eight years of industry experience, currently affiliated with Independent Advisor Alliance, LLC. He previously worked at Raymond James Financial Services and LPL Financial. Outside of advisory services, he owns a business called Pickleball Journey. Independent Advisor Alliance serves a diverse client base including individuals, small businesses, charitable organizations, and retirement plans, providing asset management, financial planning, and retirement plan consulting. The firm utilizes discretionary and non-discretionary portfolio management strategies and integrates technology platforms to support estate planning and asset aggregation.

Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Tax strategies for small businesses Founder/Business Owner Retired
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Richard K

CFP®, Series 63, Series 65

Bartlett, IL

FIFTH THIRD SECURITIES, Inc.

Richard Kuzniar is a CFP® with 34 years of industry experience, currently serving at Fifth Third Securities, Inc. since 2017. Prior to that, he worked at BMO Harris Financial Advisors for over a decade. Fifth Third Securities, Inc. offers brokerage and investment advisory services through its Passageway Managed Account Program to a diverse client base including individuals, charitable organizations, and institutional investors. The firm combines its municipal-advisor registration with its affiliation to Fifth Third Bank, providing a range of discretionary managed-account options and features such as direct indexing and tax-overlay services.

Passive / index investing Tax-loss harvesting ESG / Sustainable investing General retirement planning
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Amanda C

Series 65

Elgin, IL

AE Wealth Management, LLC

Amanda Czosek is a financial advisor with AE Wealth Management, LLC, holding a Series 65 credential and nine years of industry experience. She has worked with AE Wealth Management since 2016 and is also the owner and president of Jager Financial Services. Additionally, she serves as a board member for the National Alliance on Student Loan Debt. AE Wealth Management is an SEC-registered investment adviser serving a diverse client base, including individual investors, retirement plan sponsors, trusts, charitable organizations, and businesses. The firm offers a platform-centered approach featuring model portfolios, discretionary asset management, financial planning, and specialized plan services.

Tax-loss harvesting Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Self-Employed Founder/Business Owner
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Brian S

Series 66

Elgin, IL

AE Wealth Management, LLC

Brian Sutherland is a financial advisor with AE Wealth Management, LLC, holding a Series 66 designation and four years of industry experience. His prior roles include positions at Oxbow Financial, TSFG, LPL Financial, and Perdoceo Education Corporation. AE Wealth Management is an SEC-registered investment adviser serving a diverse client base, including individual investors, retirement plan sponsors, trusts, charitable organizations, and businesses. The firm offers a platform-centered approach with model portfolios, discretionary asset management, financial planning, and plan services, supported by an internal Investment Consulting Group and various licensing and sub-advisory programs.

Tax-loss harvesting Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Self-Employed Founder/Business Owner
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John S

Series 63, Series 66

Bartlett, IL

Newedge Advisors

John Sias is a financial advisor with NewEdge Advisors, holding Series 63 and Series 66 credentials and over 24 years of industry experience. His career includes roles at Edward Jones from 2002 to 2018 and LPL Financial since 2018. He provides investment advisory services through NewEdge Advisors, an independent registered investment advisor firm. NewEdge Advisors is an enterprise-scale registered investment adviser serving individuals, pension and profit-sharing plans, corporations, trusts, estates, and charitable organizations through a network of independent representatives. The firm offers a broad range of services including portfolio management, financial planning, retirement consulting, and access to sponsored advisory programs, utilizing multiple program structures and technology tools to support advisor and client needs.

Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Donald C

ChFC®, Series 63, Series 65

Crystal Lake, IL

Tlg Advisors, Inc.

Donald Cafero Sr. is a ChFC® credentialed financial advisor with 42 years of industry experience, currently affiliated with TLG Advisors, Inc. He has worked at several firms including The Leaders Group Inc and Highland Capital Brokerage. Outside of his advisory role, he is involved in insurance brokerage through The Cafero Group and works as a point of sale and wholesale specialist with FSG. TLG Advisors, Inc. is an SEC-registered investment adviser managing approximately $2.0 billion in discretionary client assets. The firm serves individuals, retirement plans, trusts, estates, charitable organizations, businesses, and institutional investors, offering services such as portfolio management, comprehensive financial and estate planning, and ERISA fiduciary services. Their investment approach combines fundamental analysis and Modern Portfolio Theory, with a direct-to-consumer program called Starlight Portfolios that tailors portfolios based on client risk profiles.

Wealth management Passive / index investing Active portfolio management General estate planning guidance Business ownership considerations Founder/Business Owner Retired
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Eric F

CFP®, Series 63, Series 65

Palatine, IL

Private Advisor Group, LLC

Eric Freckman is a CFP®-certified financial advisor with 25 years of industry experience. He has been with Private Advisor Group, LLC since 2015, following a 22-year tenure at LPL Financial, LLC. Outside of his advisory role, Mr. Freckman is also a notary public. Private Advisor Group, LLC is an SEC-registered firm managing over $41 billion across more than 135,000 client relationships. The firm serves individuals, trusts, estates, charitable organizations, and corporate and retirement plan clients, offering portfolio management, financial planning, and access to third-party asset management programs.

Retired Founder/Business Owner
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