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Scott H

Series 63, Series 65

Syracuse, NY

TIAA-CREF

Scott Hueber is a financial advisor with TIAA-CREF in Syracuse, NY, holding Series 63 and Series 65 credentials and 11 years of industry experience. He has worked at TIAA-CREF since 2019 and previously worked at SEI Investments Management Corp and SEI Investments Distribution Co from 2016 to 2019. TIAA‑CREF Individual & Institutional Services, LLC’s Advice & Planning Services division provides financial planning, discretionary managed account programs, and broker-dealer services primarily to individuals connected to TIAA-administered employer retirement plans, as well as trusts, estates, partnerships, and small retirement plans. The firm separates time-limited planning services from ongoing discretionary management, often utilizing model portfolios or customized portfolios managed under client-approved investment policies.

General estate planning guidance Retirement plans for business owners (SEP, solo 401k) Educators, Teachers, and Academics Founder/Business Owner Approaching retirement Mid-Career Professionals
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Paul C

Series 63, Series 65

Phoenix, NY

Oppenheimer

Paul Colligan is a financial advisor with Oppenheimer, holding Series 63 and Series 65 licenses and bringing 39 years of industry experience. His prior roles include positions at Morgan Stanley and Deutsche Bank Securities. Outside of his advisory work, Colligan serves on the advisory board for the University of New Haven’s Micro MBA program and participates in activities with the Concussion Legacy Foundation. Oppenheimer is a registered investment adviser and broker-dealer serving individuals, corporations, pension and profit-sharing plans, charitable organizations, and IRAs. The firm offers a broad range of investment and consulting services, managing both discretionary and non-discretionary portfolios across equity, balanced, and fixed-income strategies.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy General retirement planning Wealth management Executive Founder/Business Owner
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Riley L

CFP®, Series 66

Syracuse, NY

Bankers Life Advisory Services, Inc.

Riley La Vancha is a CFP® professional with one year of industry experience, currently serving at Bankers Life Advisory Services, Inc. Prior to this, Riley worked at Rockbridge Investment Management, LLC. Outside of the financial industry, Riley serves on the board of a nonprofit organization, Devins Rec Room, which supports individuals in alcohol or drug recovery in Syracuse, NY. Bankers Life Advisory Services, Inc. is an SEC-registered investment adviser serving mass-affluent and high-net-worth individuals through discretionary portfolio management and investment consulting. The firm employs a combination of fundamental, technical, and cyclical analysis to tailor asset allocations aligned with clients’ goals, risk tolerances, and time horizons.

Wealth management Retired
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Shane M

Series 66

East Syracuse, NY

Commonwealth Financial Network

Shane Murphy is a financial advisor at Commonwealth Financial Network with six years of industry experience. He holds a Series 66 designation and has worked at several firms, including Michael Roberts Associates, Fiscal Advisors & Marketing Inc., Capital Strategy Group, and Cadaret Grant & Co., Inc. In addition to advisory work, he is involved in fixed insurance sales at his branch location. Commonwealth Financial Network is a dual-registered broker/dealer and SEC-registered investment adviser that supports a national network of approximately 2,900 advisors and serves both individual and institutional clients with over $212 billion in assets under management. The firm offers a range of managed account programs, third-party asset management access, retirement consulting, and custody services, providing portfolios through internally managed models or outsourced platforms.

Passive / index investing Active portfolio management Tax-loss harvesting Wealth management Retirement income strategy Founder/Business Owner Executive Retired
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Mark B

Series 63, Series 65

Syracuse, NY

Bankers Life Advisory Services, Inc.

Mark Banac is a financial advisor with Bankers Life Advisory Services, Inc. He holds Series 63 and Series 65 licenses and has three years of industry experience. Banac has worked with various entities within the Bankers Life group since 2019. Outside of advisory services, he is an appointed insurance agent for Bankers Conseco Life Insurance Company of New York, where he sells life insurance, Medicare, and annuity products. Bankers Life Advisory Services, Inc. provides discretionary portfolio management and investment consulting primarily to mass-affluent and high-net-worth individuals, focusing on customized asset allocation, tax efficiency, and a combination of fundamental and technical analysis. The firm emphasizes individual client service and integrates affiliated broker-dealer and insurance resources in its offerings.

Wealth management Retired
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Patrick N

Series 63

East Syracuse, NY

Private Advisor Group, LLC

Patrick Newton is a financial advisor with Private Advisor Group, LLC and LPL Financial, holding a Series 63 designation and 21 years of industry experience. He has been with Private Advisor Group since 2013. Newton also sells fixed insurance as part of his business activities. Private Advisor Group serves individuals, trusts, estates, charitable organizations, businesses, and retirement plans by providing portfolio management, financial planning, retirement plan consulting, and access to various managed account solutions. The firm employs a fiduciary-based advisory model and utilizes technology platforms along with third-party managers and TAMPs to implement investment strategies.

Annuities Founder/Business Owner
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Peter S

Series 63, Series 65

East Syracuse, NY

Commonwealth Financial Network

Peter Schneider is a financial advisor at Commonwealth Financial Network with 10 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Equitable Advisors and Axa Advisors, LLC. Schneider is also the owner of Schneider Wealth Management Inc., a private entity facilitating securities, advisory, and insurance business. Commonwealth Financial Network serves a national network of approximately 2,950 advisors and their clients, providing a range of advisory programs and services including discretionary model portfolios, wealth management, and retirement plan consulting. The firm supports affiliated advisors with operations, technology, investment management, and compliance resources.

Passive / index investing Active portfolio management Tax-loss harvesting Wealth management Retirement income strategy Founder/Business Owner Executive Retired
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Meghan O

Series 63, Series 65

Syracuse, NY

Commonwealth Financial Network

Meghan O'Brien is a financial advisor with Commonwealth Financial Network, holding Series 63 and Series 65 credentials and two years of industry experience. Before joining Commonwealth, she worked five years at PBJ Wealth Management and has a background including roles in education and the hospitality sector. Commonwealth Financial Network is a dual-registered broker/dealer and SEC-registered investment adviser that supports a national network of approximately 2,900 advisors and manages about $212.7 billion in client assets. The firm provides a broad range of services including managed-account programs, access to third-party asset managers, and custody and clearing services.

Passive / index investing Active portfolio management Tax-loss harvesting Wealth management Retirement income strategy Founder/Business Owner Executive Retired
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Joseph B

Series 63

East Syracuse, NY

Principal Financial Services

Joseph Bethmann is a financial advisor at Principal Financial Services with 16 years of industry experience. He holds a Series 63 designation and has previously worked at firms including Legacy Financial Group and Associates, Union Financial, and BCA Wealth Advisors. Outside of his advisory role, he is also active as a licensed real estate agent. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, and business entities. The firm offers direct advisory programs, financial planning, retirement plan consulting, and access to third-party money manager solutions through various advisory and promoter arrangements.

Retired Founder/Business Owner
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John U

Series 63, Series 65

Clay, NY

Planmember Securities Corporation

John Urrutia is a financial advisor with PlanMember Securities Corporation, holding Series 63 and Series 65 licenses and bringing 19 years of industry experience. He has worked at PlanMember since 2017 and has been self-employed in related investment and insurance services since 2008. Urrutia is also involved in tax preparation and insurance sales through his role with Rooney Group Inc. dba Teachers Tax Service and other affiliated entities. PlanMember Securities Corporation provides retirement-plan advisory services to employers and plan participants, acting as an ERISA Section 3(38) fiduciary and offering participant-level investment options. The firm’s investment approach centers on a top-down strategic asset allocation framework and manages risk-based mutual fund portfolios across conservative to aggressive strategies.

Retirement plans for business owners (SEP, solo 401k) General retirement planning Retirement income strategy Founder/Business Owner
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Elijah G

Series 63, Series 66

DeWitt, NY

Commonwealth Financial Network

Elijah Geariety is a financial advisor with Commonwealth Financial Network in DeWitt, NY. He holds Series 63 and Series 66 licenses and has been in the industry since 2023. His prior experience includes roles at Northwestern Mutual and Keim Asset Management, as well as work in education and service industries. Commonwealth Financial Network is a dual-registered broker/dealer and SEC-registered investment adviser serving a national network of approximately 2,900 advisors and managing roughly $212.7 billion in client assets. The firm provides a broad adviser-support platform including managed-account programs, access to third-party managers, retirement and plan consulting, and custody/clearing services.

Passive / index investing Active portfolio management Tax-loss harvesting Wealth management Retirement income strategy Founder/Business Owner Executive Retired
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Vicki B

ChFC®, Series 63, Series 65

Syracuse, NY

Stratos Wealth Partners, Ltd

Vicki Brackens is a ChFC® credentialed financial advisor with 35 years of industry experience. She is affiliated with Stratos Wealth Partners, Ltd and LPL Financial, LLC, serving clients since 2018. Her prior experience includes roles at Lincoln Financial Advisors and MSI Financial Services. Brackens is involved in game design focused on financial literacy in collaboration with Syracuse University and serves as a university advisor for The Lender Center for Social Justice at Syracuse University. Stratos Wealth Partners serves individual and institutional clients, including high-net-worth individuals and retirement plans, offering financial planning, portfolio management, and consulting services through a large network of investment adviser representatives. The firm combines individualized asset allocation with access to proprietary and third-party strategies and offers both bundled and unbundled fee arrangements across multiple custodians.

Wealth management Tax-loss harvesting Retirement income strategy Business exit / sale strategy Executive Founder/Business Owner Retired Financial Professional
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Edward V

Series 63

Syracuse, NY

Mass Mutual Investors Services

Edward Vespa is a financial advisor with MassMutual Investors Services in Syracuse, NY, holding a Series 63 designation and having 42 years of industry experience. He has been with MassMutual Life Insurance Company and MassMutual Investors Services since 1996. Outside of advising, he is involved in sales of group life, group health, and disability insurance, as well as life insurance consulting. MassMutual Investors Services, LLC is a broker-dealer and SEC-registered investment adviser serving individuals, business owners, trusts, estates, charitable organizations, and employers. The firm provides ongoing financial planning, asset management, and educational programs, offering collaborative, goal-focused advisory relationships without discretionary investment authority.

Divorce financial planning General estate planning guidance Multi-generational wealth transfer Cash flow / budgeting Founder/Business Owner Attorney Executive Married/Couples/Partners Divorced
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Nicholas J

Series 63, Series 66

Liverpool, NY

J.P. Morgan Securities

Nicholas Jackson is a financial advisor with J.P. Morgan Securities, holding Series 63 and Series 66 licenses and 13 years of industry experience. He has been with J.P. Morgan Securities since 2012 and has worked at JPMorgan Chase Bank, N.A. since 2011. J.P. Morgan Securities LLC provides institutional consulting services to corporations, foundations, and defined contribution plan sponsors, offering asset allocation advice, investment manager and fund searches, and customized performance reporting through a select group of Wealth Advisors. The firm combines institutional advisory operations with broker-dealer and investment adviser registrations, delivering recommendations on a non-discretionary basis while clients retain final decision-making authority.

Wealth management Executive Founder/Business Owner
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Abigail S

Series 63, Series 66

Marcellus, NY

Equitable Advisors

Abigail Stevens is a financial advisor at Equitable Advisors with four years of industry experience. She holds the Series 63 and Series 66 designations. Prior to joining Equitable Advisors in 2022, she worked at Auburn Community FCU and Visions Federal Credit Union and has experience in both the education and nonprofit sectors. Equitable Advisors provides financial planning, retirement plan consulting, and asset management services to individuals, pension and profit-sharing plans, corporations, and charitable organizations. The firm works with a broad client base and offers a variety of advisory programs through a network of Investment Adviser Representatives and third-party asset managers.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Concentrated stock management Equity Recipients (RS/RSU, SOP, ESPP) Long-term care insurance Founder/Business Owner Retired Executive Approaching retirement Sandwich Generation
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Robert B

ChFC®, Series 63, Series 65

Syracuse, NY

Raymond James Financial

Robert Brunette is a financial advisor with Raymond James Financial in Syracuse, NY, holding the ChFC® designation along with Series 63 and Series 65 licenses. He has 48 years of industry experience, including roles at Planned Results Inc and Raymond James Financial Services, Inc. Brunette is also involved with Planned Results, Inc., where he serves as a financial advisor. Raymond James Financial Services Advisors, Inc. provides financial planning, investment consulting, and advisory services to a diverse client base, including individuals, high-net-worth clients, institutions, and charitable organizations. The firm offers tailored, non-discretionary planning and consulting utilizing various analytical tools and maintains a unique affiliation with a municipal advisor to support its municipal and public finance services.

Wealth management Tax strategies for small businesses Business succession planning General estate planning guidance Founder/Business Owner Executive
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Sharon C

Series 63, Series 66

Liverpool, NY

Thrivent Investment Management

Sharon Charles is a financial advisor at Thrivent Investment Management with 35 years of industry experience. She has held her current roles at Thrivent Financial for Lutherans and Thrivent Investment Management Inc. since 2005. She holds the Series 63 and Series 66 designations. Thrivent Investment Management offers Dedicated Planning Services to individuals, families, businesses, and nonprofit clients, providing comprehensive written recommendations on a variety of financial planning topics. The firm focuses on holistic, goal-based analyses and allows clients to combine planning with managed accounts under a consolidated billing option while keeping the services distinct.

Business ownership considerations
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Michael J

Series 63, Series 65, Series 66

Syracuse, NY

Wells Fargo Clearing

Michael Jim is a financial advisor with Wells Fargo Clearing in Syracuse, NY, holding Series 63, 65, and 66 licenses and 33 years of industry experience. His prior work includes positions at Wells Fargo Advisors LLC and Equitable Advisors. Wells Fargo Advisors is a national securities firm serving individual, corporate, and institutional clients with investment advisory services, financial planning, retirement plan consulting, and wrap-fee programs. The firm manages approximately $671 billion in assets and offers both brokerage and advisory solutions supported by research from Wells Fargo Investment Institute and third-party sources.

Retired Founder/Business Owner
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Scott C

Series 63, Series 65

Syracuse, NY

Morgan Stanley

Scott Coles is a financial advisor with Morgan Stanley in Syracuse, NY, holding Series 63 and Series 65 designations and offering 28 years of industry experience. He has been with Morgan Stanley since 2015. Morgan Stanley Wealth Management provides a range of advisory programs to individuals and institutional clients, focusing on tailored financial planning supported by firm-approved tools and structured discovery processes.

General estate planning guidance
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Marcia I

Series 66

Syracuse, NY

RBC Capital Markets

Marcia Irvin is a financial advisor at RBC Capital Markets with 25 years of industry experience. She holds a Series 66 designation and has worked at RBC Capital Markets since 2009, with additional experience at City National Bank beginning in 2024. Outside of her advisory role, she serves as treasurer for the Shepard's Woods Land Owners Association. RBC Wealth Management, a division of RBC Capital Markets, serves individual and institutional clients with tailored investment strategies and a variety of advisory programs. The firm combines in-house and third-party managers to provide portfolio management, financial planning, and brokerage services.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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