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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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John L

CFP®

South Barrington, IL

Vermillion Financial Advisors, Inc.

John La Spisa is a CFP® at Vermillion Financial Advisors, Inc. with two years of industry experience. His background includes multiple roles at the University of Illinois Urbana-Champaign and Vermillion Financial Advisors. Vermillion Financial Advisors serves individuals, pension and profit-sharing plans, business entities, trusts, estates, and charitable organizations, providing financial planning and investment advisory services. The firm emphasizes structured communications and education through a range of planning disciplines, model and customized portfolios, and participant education tied to plan assets.

General retirement planning General tax planning College savings (529s, UTMA, etc.) Options & derivatives strategies Founder/Business Owner Executive Mid-Career Professionals
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James B

Series 63, Series 65

Itasca, IL

RCM Wealth Advisors

James Bellinger is a financial advisor at RCM Wealth Advisors with 24 years of industry experience. He holds Series 63 and Series 65 licenses and has been with RCM Wealth Advisors since 2014. In addition to his advisory role, Bellinger is president and majority owner of Better Business Planning, Inc., an employee benefit sales firm. RCM Wealth Advisors serves individual clients, pension and profit-sharing plans, and corporate entities, offering a variety of managed asset portfolios, ETF and mutual fund strategies, and single-manager approaches. The firm uses a fundamental and cyclical analysis process overseen by an internal Investment Policy Committee and provides both discretionary and non-discretionary account management alongside written financial plans.

Options & derivatives strategies Concentrated stock management
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Kathleen P

Series 66

St. Charles, IL

Total Clarity Wealth Management, Inc

Kathleen Panek Rickerson is a financial advisor with Total Clarity Wealth Management, Inc., holding a Series 66 designation and six years of industry experience. She has worked at LPL Financial since 2018 and runs BabySnApps, an entrepreneurial venture active since 2013. Total Clarity Wealth Management provides wealth management and financial planning services to individuals, trusts, estates, charitable organizations, corporate clients, and employer 401(k) plan sponsors. The firm employs a customized investment approach, managing accounts primarily on a discretionary basis using a range of investment vehicles including mutual funds, ETFs, stocks, bonds, and alternative investments.

Options & derivatives strategies Concentrated stock management Private / alternative investments Charitable giving & philanthropy Retirement plans for business owners (SEP, solo 401k) Executive Founder/Business Owner Established Professionals Approaching retirement HENRY (High Earners, Not Rich Yet)
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Terrence C

CFP®, Series 65

St. Charles, IL

DHJJ Financial Advisors

Terrence Cicero is a CFP® credentialed financial advisor with 18 years of industry experience. He has been with DHJJ Financial Advisors and DigioVine, Hnilo, Jordan & Johnson, Ltd. since 2007. DHJJ Financial Advisors is an SEC-registered firm managing approximately $543.5 million across eight advisors, serving both individual and high-net-worth clients with portfolio management, financial planning, and retirement plan services. The firm offers integrated tax preparation and accounting services through an affiliated CPA firm and typically manages accounts on a discretionary basis using a range of investment vehicles.

Options & derivatives strategies Founder/Business Owner Retired
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John N

Series 63, Series 65

Oakbrook, IL

Rothschild Wealth LLC

John Newhouse Jr. is a financial advisor at Rothschild Wealth LLC with Series 63 and Series 65 credentials and two years of industry experience. He has been involved with Gator Trading Partners since 2003 and holds managing member roles in several investment-related ventures, including Night Crawlers LLC and multiple crypto investing entities. Rothschild Wealth LLC provides investment advisory and financial planning services to individuals, corporate executive groups, trusts, retirement plans, and institutional clients. The firm’s investment approach uses asset-allocation models informed by client data and quantitative analysis, implementing strategies through a range of securities and third-party 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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Francis G

Series 63, Series 65

Downers Grove, IL

Apollon Financial, LLC

Francis Gutrich is a financial advisor at Apollon Financial, LLC with 38 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at LPL Financial, Highpoint Advisor Group, and J.P. Morgan Securities. Gutrich also provides investment advisory services through Apollon Financial, an independent registered investment advisory firm. Apollon Financial serves individuals, high-net-worth clients, 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 blend of centrally managed models and advisor-led portfolios.

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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James S

CFP®, CFA®, Series 63

Western Springs, IL

Pinnacle Financial Group LLC

James Stork is a CFP® and CFA® with 25 years of experience in financial advising. He has been with Pinnacle Financial Group LLC since 2000, currently serving as part of a four-advisor team. Outside of his advisory role, Mr. Stork is a managing member and co-owner of STU Partners, LLC, a holding company for the building Pinnacle leases as its principal place of business, and also manages Tower Management, LLC. Pinnacle Financial Group LLC is an SEC-registered, fee-only investment adviser serving individuals, retirement plans, trusts, estates, charitable organizations, and business entities. The firm combines modern portfolio theory with factor investing, quantitative optimization, and third-party research, offering personalized financial planning and investment management through a consultative, modular approach.

Factor investing / smart beta Active portfolio management Wealth management
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Bret P

Series 66

Oakbrook, IL

Rothschild Wealth LLC

Bret Petersen is a financial advisor at Rothschild Wealth LLC with 23 years of industry experience. He holds a Series 66 designation and has worked at firms including Wells Fargo Clearing Services, UBS Financial Services, Morgan Stanley, and Citigroup Global Markets. Rothschild Wealth LLC provides investment advisory and financial planning services to individuals, including high-net-worth clients, corporate executive groups, trusts, retirement plans, and other institutions. The firm’s investment approach centers on asset-allocation models supported by quantitative analysis and client input, implementing portfolios through various 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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John D

Series 63, Series 65

St. Charles, IL

Chicago Investment Advisory Council, Inc.

John Davis is a financial advisor with Chicago Investment Advisory Council, Inc., holding Series 63 and Series 65 credentials and 29 years of industry experience. He has been affiliated with both Chicago Investment Advisory Council and J.W. Cole Financial, Inc. since the late 1990s and early 2000s, respectively. Outside of his advisory work, he serves as a board member of the Sunset Harbour Yacht Club and is a racecar driving instructor at Blackhawk Farms Raceway. Chicago Investment Advisory Council, Inc. serves retail clients, including both non‑high-net-worth and high-net-worth individuals, providing portfolio management, financial planning, and educational workshops through a team of five advisors. The firm employs proprietary model portfolios with discretionary trading authority and manages approximately 1,100 client relationships.

Active portfolio management
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Cheryl K

CFP®, Series 65

Lisle, IL

Vantage Point Financial, LLC

Cheryl Krueger is a CFP® with 19 years of experience in the financial services industry. She is currently with Vantage Point Financial, LLC, a team-based firm, and has previously worked at Growing Fortunes Financial Partners and CGN Advisors, LLC. Krueger also serves as managing member of Growing Fortunes Financial Partners LLC, providing administrative support related to her advisory activities. Vantage Point Financial serves individuals, families, high-net-worth clients, and business owners with investment management, financial planning, and wealth consulting. The firm offers a fiduciary, customized approach focused on long-term portfolio construction using low-cost mutual funds and ETFs, while maintaining flexibility to include a variety of investment vehicles and integrated planning advice.

Business ownership considerations Business exit / sale strategy Wealth management Private / alternative investments Founder/Business Owner
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Christopher K

CFP®, Series 63, Series 66

Chicago, IL

1834 Investment Advisors Co.

Christopher Knappstein is a CFP® with 15 years of industry experience and is currently a wealth management officer at Old National Bank. He has worked at 1834 Investment Advisors Co. since 2023 and previously held roles at LPL Financial and First Midwest Bank. He divides his time between his duties at Old National Bank and his advisory work. 1834 Investment Advisors Co. provides discretionary and non-discretionary investment management, financial planning, and retirement plan services to high-net-worth individuals and institutional clients. The firm emphasizes customized portfolio strategies, asset allocation, and uses both internally developed and external models, operating as a wholly owned subsidiary of Old National Bancorp with a close relationship to Old National Bank.

Private / alternative investments Tax-loss harvesting Concentrated stock management Wealth management
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Ronny M

Series 65, Series 63

St. Charles, IL

Chicago Investment Advisory Council, Inc.

Ronny Mark is a financial advisor with Chicago Investment Advisory Council, Inc., holding Series 63 and Series 65 licenses and bringing 13 years of industry experience. He has worked at Uhlmann Price Securities since 2013 and previously spent five years with Perpetual Wealth Capital Management, LLC. Outside of his advisory role, Ronny is president of Price Futures Group, where he oversees all hedging activities. Chicago Investment Advisory Council, Inc. serves retail and high-net-worth clients with portfolio management, financial planning, and educational workshops, using proprietary model portfolios across a range of risk profiles. The firm operates with discretionary trading authority and maintains a high client-to-advisor ratio through a standardized yet personalized service approach.

Active portfolio management
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Sean P

Series 66

Geneva, IL

Leelyn Smith, LLC

Sean Poquette is a financial advisor with Leelyn Smith, LLC, holding a Series 66 designation and having two years of industry experience. He previously worked at The State Bank of Geneva for six years before joining Leelyn Smith and LPL Financial. Poquette is a licensed notary in Illinois. Leelyn Smith, LLC provides discretionary and non-discretionary investment advisory services to individuals, pension and profit-sharing plans, business entities, and trusts. The firm employs model-based and individualized allocations across a range of investment vehicles and utilizes multiple third-party platforms and technologies to support client portfolio management.

Options & derivatives strategies Tax-loss harvesting Private / alternative investments
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Jeffrey K

CFA®, Series 63, Series 66

Lombard, IL

Hunter Capital Management

Jeffrey Kautz is a CFA® charterholder with 10 years of industry experience, currently serving as an advisor at Hunter Capital Management. His prior experience includes nine years at Ballast Equity Management. Hunter Capital Management is an SEC-registered investment adviser with approximately $1.09 billion in assets under advisement and a seven-advisor team. The firm serves individuals, retirement plans, trusts, estates, charitable organizations, corporations, and investment companies through discretionary portfolio management, sponsored pooled vehicles, private funds, and a registered mutual fund.

Wealth management Private / alternative investments Founder/Business Owner Executive
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Connor Y

Series 65

Oakbrook, IL

Rothschild Wealth LLC

Connor Yeoman is an advisor at Rothschild Wealth LLC with a Series 65 designation and one year of industry experience. He joined Rothschild Wealth in 2026 after completing ten years as a student. 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 approach focuses on asset-allocation models based on client questionnaires and quantitative analysis, utilizing mutual funds, ETFs, individual equities, fixed-income 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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Jared R

Series 65

Oakbrook Terrace, IL

Goldstone Financial Group, LLC

Jared Rus is a financial advisor at Goldstone Financial Group, LLC with two years of industry experience. He holds a Series 65 designation and previously worked in education and hospitality before joining Goldstone. Jared is also a fixed annuity and insurance agent. Goldstone Financial Group is a multi-team SEC-registered investment adviser managing over $1 billion across individual and high-net-worth clients. The firm offers discretionary portfolio management, financial planning, and access to sub-advisers, implementing strategies that include mutual funds, ETFs, fixed income, and alternative investments.

Wealth management Active portfolio management Real estate investing Annuities
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Vicente E

Series 65

Wheaton, IL

Timothy Financial Counsel, Inc.

Vicente Ereneta is a financial advisor at Timothy Financial Counsel, Inc. with two years of industry experience. He holds a Series 65 designation and has previously worked at Allgood Financial - LPL Financial and Legacy Wealth Advisors - Raymond James. Timothy Financial Counsel, Inc. is a fee-only, hourly financial planning firm that serves individuals, families, businesses, trusts, charities, and retirement plans. The firm emphasizes advisory and implementation coaching without custody of client funds, focusing on diversified investment exposure through no-load mutual funds and ETFs with a time-based billing model.

General retirement planning General tax planning College savings (529s, UTMA, etc.) Annuities Founder/Business Owner Executive Mid-Career Professionals Approaching retirement
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Curtis E

Series 65, Series 63

Oakbrook, IL

Rothschild Wealth LLC

Curtis Ellergodt is a financial advisor at Rothschild Wealth LLC with 11 years of industry experience. He holds Series 63 and Series 65 licenses and has worked with various Rothschild entities as well as Halo Securities LLC and Ausdal Financial Partners, Inc. He also serves as COO/CFO of Rothschild Wealth LLC and CFO/CCO of Rothschild Investment LLC. Rothschild Wealth LLC provides investment advisory and financial planning services to individuals, corporate executive groups, trusts, retirement plans, and institutional clients. The firm emphasizes asset-allocation models supported by quantitative analysis and implements portfolios through mutual funds, ETFs, equities, fixed income, 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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Arthur F

Series 65

Deer Park, IL

Essex LLC

Arthur Freedman is a Series 65-licensed advisor with Essex LLC, based in Deer Park, IL, and has 24 years of industry experience. He has worked at Essex LLC since 2000. Essex LLC is a registered investment adviser serving individuals, trusts, retirement plans, and charitable organizations. The firm uses a multi-member investment policy committee to construct and monitor portfolios using fundamental, technical, and sector analysis across various asset classes.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Annuities Self-Employed Executive
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