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David D

Series 63, Series 65

Henderson, NV

Hightower Advisors

David Day is a financial advisor at Hightower Advisors with Series 63 and 65 designations and three years of industry experience. Prior to joining Hightower, he worked at New York Life Insurance Co. and Nylife Securities LLC. Outside of finance, he owns and manages All Day Pools LLC, a pool cleaning and service business, and serves as a board member for the Henderson Little League, overseeing the Tee-Ball division. Hightower Advisors provides investment advisory and planning services to a diverse range of individual and institutional clients, utilizing a multi-manager approach that includes affiliated and third-party managers, proprietary research, and a variety of investment vehicles.

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

Series 66, Series 63

Las Vegas, NV

Mariner

Jorge Soriano is a financial advisor at Mariner with 19 years of industry experience. He holds Series 63 and Series 66 licenses and has worked at firms including Dimensional Fund Advisors and AdvicePeriod, LLC. Outside of advising, he is a landlord managing rental property. Mariner serves a broad range of clients such as individuals, pension plans, trusts, and charitable organizations through investment management, financial planning, and retirement consulting. The firm offers customized discretionary portfolios supported by in-house research and third-party managers, along with integrated tax and accounting services and employer financial wellness tools.

Private / alternative investments Options & derivatives strategies Concentrated stock management Annuities Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Jason O

Series 63, Series 65

Las Vegas, NV

Guardian Life

Jason Oshins is a financial advisor with Guardian Life and Park Avenue Securities, holding Series 63 and Series 65 licenses and 15 years of industry experience. He has been affiliated with Guardian Life since 2010 and Park Avenue Securities since 2011. Oshins serves on the Vegas PBS Southern Nevada Planned Giving Council and contributes articles to publications such as Ultimate Estate Planner and Vegas PBS. Park Avenue Securities LLC, operating as Park Avenue® Wealth Management, is a broker-dealer and SEC-registered investment adviser serving individuals, pension plans, charitable organizations, and corporate clients. The firm offers brokerage services, financial planning, retirement consulting, and investment advisory programs with both discretionary and non-discretionary options.

Retirement income strategy Business exit / sale strategy Wealth management Private / alternative investments Founder/Business Owner Retired Executive
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Scott M

Series 63, Series 65

Las Vegas, NV

Transamerica Financial Advisors

Scott Miller is a financial advisor with Transamerica Financial Advisors in Las Vegas, NV, holding Series 63 and Series 65 registrations with two years of industry experience. He has been associated with multiple firms since 2023, including First Command Brokerage Services and WealthWave. Miller serves as a board member of the California International Clay Target Shooters Association, a nonprofit organization promoting Olympic shotgun shooting. Transamerica Financial Advisors serves a diverse client base including individual investors, pension and profit-sharing plans, trusts, and charitable organizations. The firm offers both advisory and broker-dealer services through proprietary and third-party model portfolios, providing a range of discretionary and non-discretionary investment programs.

ESG / Sustainable investing Concentrated stock management Wealth management Founder/Business Owner
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Leslie O

Series 66, Series 63

Las Vegas, NV

Empower Advisory Group

Leslie Oliver is a financial advisor at Empower Advisory Group with two years of industry experience. Prior to joining Empower Financial Services, Inc., Oliver worked for nine years at Wells Fargo Home Mortgage. Empower Advisory Group provides financial planning and investment management primarily to employer-sponsored retirement plan sponsors and their participants, as well as to Empower Premier IRA and certain retail brokerage account holders. The firm’s services are integrated with Empower’s recordkeeping and administrative platforms and focus on long-term portfolio returns and client savings rates.

General retirement planning Retirement income strategy Social Security optimization Debt management College savings (529s, UTMA, etc.)
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Bradley Z

Series 63, Series 65

Las Vegas, NV

J. W. Cole Advisors, Inc.

Bradley Zucker is a financial advisor with J.W. Cole Advisors, Inc. in Las Vegas, NV, holding Series 63 and Series 65 credentials and bringing 15 years of industry experience. His prior experience includes roles at Global Financial Private Capital and a longstanding association with Safe Money Advisors, where he is involved in insurance and annuities sales and occasionally conducts seminars. J.W. Cole Advisors is an SEC-registered investment adviser serving individuals, charities, corporations, and retirement plans through a national network of over 400 independent representatives. The firm provides portfolio management, financial planning, access to third-party managers, and multiple managed account solutions using both discretionary and non-discretionary approaches.

Retirement plans for business owners (SEP, solo 401k) College savings (529s, UTMA, etc.) Retired Founder/Business Owner
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Colin P

Series 66

Las Vegas, NV

Independent Financial Group, LLC

Colin Peltier is a Series 66-credentialed financial advisor with two years of industry experience. He is currently affiliated with Independent Financial Group, LLC and Cornerstone Wealth Management. Outside of his advisory role, he serves as an insurance professional and provides notarial services to clients. Independent Financial Group, LLC offers investment advisory and brokerage services to a wide range of clients, including individuals, high-net-worth clients, trusts, corporations, pension and profit-sharing plans, and charitable organizations. The firm employs strategic asset allocation and multi-manager portfolios, blending passive and active investment approaches tailored to client risk profiles.

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

Series 66

Las Vegas, NV

Independent Financial Group, LLC

John Underwood III is a Series 66-licensed financial advisor with five years of industry experience, currently affiliated with Independent Financial Group, LLC. His career includes roles at Flemings, Raymond James Financial Services, Cambridge Investment Research, and Cornerstone Wealth Management. He also assists with client service and administrative support in an insurance-related capacity outside of his primary firm. Independent Financial Group, LLC provides investment advisory and brokerage services to a diverse client base, including individuals, high-net-worth clients, trusts, and institutions. The firm offers financial planning and portfolio management through various platforms and uses a combination of strategic asset allocation, multi-manager portfolios, and ongoing due diligence in its investment process.

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

Series 66

Las Vegas, NV

Valic Financial Advisors

Richard Wilson is a financial advisor with Valic Financial Advisors in Las Vegas, NV, holding a Series 66 designation and 18 years of industry experience. His prior work includes a position at CUSO Financial Services, LP, and he currently holds an agent role with AGIA involving non-securities insurance products. Valic Financial Advisors serves primarily U.S. individuals, including high net worth clients and employer-sponsored retirement participants, offering wrap programs, portfolio management, and financial planning through a large network of advisors. The firm utilizes discretionary unified managed accounts with third-party model managers and emphasizes centralized technology and model solutions across its extensive client base.

ESG / Sustainable investing Tax-loss harvesting Retirement income strategy
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Michael P

Series 63, Series 65

Henderson, NV

Hightower Advisors

Michael Pe Queen is a financial advisor with Hightower Advisors, holding Series 63 and Series 65 credentials and bringing 40 years of industry experience. He has been with Hightower Advisors since 2012. Outside of his advisory work, he serves as vice-president and shareholder of a self-service car wash business and holds outside director roles with Children's Dental Care International and the UNLV Finance Department Advisory Board. Hightower Advisors provides investment advisory and planning services to a diverse client base that includes individual and institutional investors. The firm’s approach focuses on manager selection and multi-manager solutions, utilizing both affiliated and third-party managers across various investment strategies.

Wealth management Retirement plans for business owners (SEP, solo 401k) Tax-loss harvesting Founder/Business Owner Executive
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Rayna P

CFA®, Series 66

Henderson, NV

Hightower Advisors

Rayna Penelova is a CFA® charterholder with 10 years of industry experience, currently serving as a financial advisor at Hightower Advisors since 2015. She holds the Series 66 designation and is based in Henderson, NV. Hightower Advisors provides investment advisory and planning services to a diverse client base, including individuals, institutions, and charitable organizations. The firm utilizes a multi-manager approach with access to both affiliated and third-party managers, offering discretionary and non-discretionary portfolio management alongside financial planning and retirement consulting.

Wealth management Retirement plans for business owners (SEP, solo 401k) Tax-loss harvesting Founder/Business Owner Executive
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Kevin H

CFP®, Series 63, Series 66

Henderson, NV

Private Advisor Group, LLC

Kevin Hussey is a Certified Financial Planner (CFP®) with 20 years of experience in the financial services industry. He has worked at Private Advisor Group, LLC since 2023 and previously spent 18 years at Fidelity Brokerage Services LLC and 5 years at Fidelity Personal and Workplace Advisors. Hussey also holds licenses to sell insurance products as an independent agent, a business separate from his investment advisory practice. Private Advisor Group, LLC serves individuals, trusts, estates, charitable organizations, businesses, and retirement plans by providing portfolio management, financial planning, and retirement plan consulting. The firm uses a fiduciary-based advisory model and a range of investment strategies, often implementing advice through third-party managers and technology platforms.

Annuities Founder/Business Owner
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Anthony R

Series 63, Series 65

Las Vegas, NV

Citigroup Global Markets

Anthony Ripamonti is a financial advisor with Citigroup Global Markets, holding Series 63 and Series 65 licenses and possessing eight years of industry experience. His prior roles include positions at J.P. Morgan Chase Bank, J.P. Morgan Securities, Northwestern Mutual Investment Management, Geometry Global LLC, and Montibean LLC. Citigroup Global Markets serves individual and institutional clients across various wealth segments, offering a broad range of investment advisory programs and brokerage services. The firm implements multi-asset, multi-manager strategies under comprehensive oversight and combines large institutional scale with specialized market roles such as swap dealing and futures commission merchant activities.

Tax-loss harvesting ESG / Sustainable investing Executive Founder/Business Owner Attorney Consultant Technology Professional
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Christopher H

ChFC®, Series 66

Las Vegas, NV

Eagle Strategies (NY Life)

Christopher Heinlein is a financial advisor with Eagle Strategies (NY Life) based in Las Vegas, NV, holding the ChFC® designation and Series 66 license. He has 24 years of industry experience, including 15 years with New York Life Insurance Company and related affiliates. Heinlein also serves as a FINRA arbitrator and is commissioned as a notary public in New York. Eagle Strategies provides financial planning, investment management, and retirement-plan advisory services to individual and institutional clients, emphasizing tailored recommendations and typically managing assets on a non-discretionary basis 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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Carly R

Series 66

Henderson, NV

Osaic Advisory Services, LLC

Carly Rothbort is a Series 66-licensed financial advisor with three years of industry experience, currently with Osaic Advisory Services, LLC since 2024. Her prior experience includes roles at Triad Advisors, Kingswood Capital Partners, and Lakeview Asset Management, where she serves as Vice President. Outside of advising, she is involved with the Cadence Residential Master Community Association Finance Committee and operates a freelance graphic design business. Osaic Advisory Services, LLC is an SEC-registered investment adviser serving a broad client base that includes individuals, institutions, and charitable organizations. The firm provides a range of services such as investment management, financial planning, and retirement plan consulting, delivering advisory services through multiple program models with custody primarily arranged through Schwab and Fidelity.

Annuities
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Jonathan K

Series 63, Series 65

Las Vegas, NV

Transamerica Financial Advisors

Jonathan Kim is a financial advisor with Transamerica Financial Advisors in Las Vegas, NV, holding Series 63 and Series 65 licenses. He has prior experience as a real estate agent with Keller Williams VIP Properties, Compass, and Coldwell Banker Residential. Outside of advisory work, he is involved with Inheritguard, LLC, providing estate planning-related client education and communications. Transamerica Financial Advisors serves a broad client base including individual investors, retirement plans, trusts, and charitable organizations. The firm primarily uses model portfolios and third-party managers to implement its advisory services through multiple platforms such as Transamerica ONE and TFA365.

ESG / Sustainable investing Concentrated stock management Wealth management Founder/Business Owner
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Mason M

Series 63, Series 66

North Las Vegas, NV

Empower Advisory Group

Mason Malott is a financial advisor with Empower Advisory Group in North Las Vegas, NV, holding Series 63 and Series 66 licenses and having two years of industry experience. His prior work includes roles at Northwestern Mutual Life Insurance Company and Empower. Empower Advisory Group provides financial planning and investment management primarily to employer-sponsored retirement plan sponsors and their participants, as well as Empower Premier IRA and certain retail brokerage account holders, using an integrated model tied to Empower’s recordkeeping and administrative platforms.

General retirement planning Retirement income strategy Social Security optimization Debt management College savings (529s, UTMA, etc.)
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Hugh A

Series 63, Series 65

Henderson, NV

Hightower Advisors

Hugh Anderson III is a financial advisor with Hightower Advisors, holding Series 63 and Series 65 credentials and bringing 45 years of industry experience. He has been with Hightower Advisors since 2012. Outside of his advisory role, he is a general partner managing investments for HDIII L.P., an estate planning entity. Hightower Advisors provides investment advisory and planning services to a diverse range of individual and institutional clients, offering portfolio management, financial planning, retirement plan consulting, and access to pooled vehicles and private funds. The firm emphasizes multi-manager solutions through affiliated and third-party managers, utilizing proprietary research and a variety of investment products.

Wealth management Retirement plans for business owners (SEP, solo 401k) Tax-loss harvesting Founder/Business Owner Executive
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Stephen A

Series 63, Series 65

Henderson, NV

Brookstone Capital Management LLC

Stephen Arnold is a financial advisor with Brookstone Capital Management LLC, holding Series 63 and Series 65 licenses and bringing 11 years of industry experience. He has worked at Brookstone since 2014 and has been with AIB LLC since 2007. Outside of his advisory roles, Arnold is a life insurance broker and serves as managing member and CEO of Retirement Actuarial Services, where he designs and implements defined benefit, cash balance, and 401(k) plans; he also provides estate planning services through Helios Integrated Planning and Encore Estate Planning. Brookstone Capital Management is an SEC-registered adviser offering fee-based asset management and financial planning through a turnkey asset management platform and wrap-fee program. The firm serves a diverse client base, including individuals, retirement plans, corporations, charitable organizations, other RIAs, sovereign wealth funds, and banking institutions, delivering investment management primarily on a discretionary basis using a variety of model portfolios and managed accounts.

ESG / Sustainable investing Active portfolio management Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Executive Founder/Business Owner Retired
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Joseph M

Series 63, Series 65

Henderson, NV

GWN Securities Inc.

Joseph Mezatis is a financial advisor with GWN Securities Inc. in Mt. Juliet, TN, holding Series 63 and Series 65 licenses and 27 years of industry experience. He has worked at several firms, including Ameritas Investment Corp., Ccf Investments, Inc., and Capital Choice Financial Services. Mezatis is also the owner and managing member of Hope Financial Solutions, LLC, where he works with clients on financial goals using various insurance and investment products. Additionally, he serves as CFO and a 20% owner of New Directions Financial Group, which provides access to multiple insurance marketing organizations. GWN Securities is an SEC-registered investment adviser and broker-dealer serving individuals, including high-net-worth clients, and businesses through discretionary managed accounts and financial planning. The firm offers a range of managed-account programs and model portfolios, combining traditional asset allocation with legacy market-timing and momentum-based strategies.

Wealth management Passive / index investing Active portfolio management Tax-loss harvesting Retirement withdrawal strategies Founder/Business Owner
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