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Robert N

Series 66

Las Vegas, NV

Centaurus Financial, Inc.

Robert Nichols is a financial advisor with Centaurus Financial, Inc. in Las Vegas, NV, holding a Series 66 credential and 11 years of industry experience. He has been with Centaurus Financial since 2018 and has prior work experience including roles at Home Depot and as a Care Taker. Centaurus Financial, Inc. provides advisory and brokerage services to a diverse client base, including individuals, families, small businesses, corporations, trusts, and foundations. The firm offers financial planning, portfolio management through the CLASSIC Plus platform, retirement-plan consulting, and specialized advisory management of annuity and variable life sub-accounts, utilizing both discretionary and non-discretionary arrangements.

Wealth management Private / alternative investments Annuities Retirement plans for business owners (SEP, solo 401k) General tax planning Founder/Business Owner
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Jose R

Series 63, Series 65

Henderson, NV

Citigroup Global Markets

Jose Rico is a financial advisor with Citigroup Global Markets, holding Series 63 and Series 65 licenses and five years of industry experience. His prior roles include positions at Wells Fargo Bank, Wells Fargo Clearing, Axos Bank, Credit Union1, and Bank of George. Outside of his advisory work, he is involved in a package delivery and courier service based in Las Vegas. Citigroup Global Markets serves individual and institutional clients across various wealth segments, offering a broad range of investment advisory programs and execution services. The firm employs multi-asset, multi-manager strategies with both discretionary and non-discretionary programs 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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Harli S

Series 63, Series 66

North Las Vegas, NV

First Command Advisory Services

Harli Smith is a financial advisor with First Command Advisory Services in North Las Vegas, NV, holding Series 63 and Series 66 licenses and seven years of industry experience. Her career includes roles at First Command Financial Planning, Money Concepts Capital Corp., and USA Shooting. First Command Advisory Services is an SEC-registered investment adviser serving individuals, corporate, and charitable clients, with a particular focus on active-duty service members and their families. The firm offers financial planning and multiple wrap-fee asset management programs managed centrally by an Investment Management Team and Wealth Portfolio Managers.

Passive / index investing Active portfolio management Retirement income strategy Tax-loss harvesting ESG / Sustainable investing Self-Employed Young Professionals
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Jang Won L

Series 63, Series 66

Las Vegas, NV

Eagle Strategies (NY Life)

Jang Won Lee is a financial advisor with Eagle Strategies (New York Life) based in Las Vegas, NV, holding Series 63 and Series 66 credentials and possessing 17 years of industry experience. He has been with Eagle Strategies since 2014 and has longstanding affiliations with Nylife Securities LLC and New York Life Insurance Company since 2008. Eagle Strategies serves a diverse client base including individual investors and institutional clients, providing financial planning, investment management, and retirement-plan advisory services. The firm offers multiple program types and emphasizes tailored recommendations, with the majority of assets managed 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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Patrick J

Series 63, Series 65

Las Vegas, NV

Commonwealth Financial Network

Patrick Jordan is a financial advisor with Commonwealth Financial Network, holding Series 63 and Series 65 licenses and bringing 32 years of industry experience. He has worked at Commonwealth since 2011, with a period at Raymond James Financial Services from 2018 to 2022, and is also the owner of Black Mountain Wealth Management, LLC. Commonwealth Financial Network serves a national network of approximately 2,950 advisors and their clients, providing advisory programs, wealth management, and retirement plan consulting. The firm supports its advisors with operations, trading, technology, investment management, compliance, and practice-management services.

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

Series 63, Series 65

Las Vegas, NV

First Command Advisory Services

Alfonso Durazo III is a financial advisor with First Command Advisory Services in Las Vegas, NV, holding Series 63 and Series 65 credentials and 22 years of industry experience. His career includes positions at Bank of America, Merrill, LPL Financial, and Scottrade. He is also the sole owner of Cinepolitan, LLC, an entertainment company focused on electronic music and cinematic content. First Command Advisory Services is an SEC-registered investment adviser serving individuals, corporate, and charitable clients, with a focus on active-duty service members and their families. The firm offers financial planning and multiple wrap-fee asset management programs managed through a centralized Investment Management Team and Wealth Portfolio Managers.

Passive / index investing Active portfolio management Retirement income strategy Tax-loss harvesting ESG / Sustainable investing Self-Employed Young Professionals
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Chong N

Series 63, Series 65

Henderson, NV

&PARTNERS

Chong Nam is a financial advisor at &PARTNERS with Series 63 and Series 65 credentials and 31 years of industry experience. His prior firms include Wiley Bros. Aintree Capital and Wells Fargo Advisors, where he worked from 2009 to 2023 in various roles. Outside of his advisory work, he serves as Treasurer on the boards of the Pinecrest Academy of Nevada charter schools and the Anthem Country Club Community Association in Henderson, NV. &PARTNERS serves a diverse client base including individual, institutional, and sovereign wealth fund clients, providing advisory and brokerage services alongside financial planning and retirement plan consulting. The firm’s investment approach incorporates a mix of proprietary models and third-party managers, utilizing fundamental, technical, and quantitative analysis across a range of asset types.

Private / alternative investments Options & derivatives strategies Concentrated stock management Retirement plans for business owners (SEP, solo 401k) General estate planning guidance Founder/Business Owner Executive Retired Financial Professional
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Adam G

Series 65

Las Vegas, NV

Brookstone Capital Management LLC

Adam Goodman is a financial advisor at Brookstone Capital Management LLC with 12 years of industry experience. He holds a Series 65 credential and has worked with Brookstone since 2014. In addition to his advisory role, Goodman is an independent associate for Legal Shield, where he recruits and trains others to provide legal service plans and identity theft protection. Brookstone Capital Management is an SEC-registered adviser offering fee-based asset management and financial planning through a turnkey 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 via 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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Tanner W

Series 66

Las Vegas, NV

AE Wealth Management, LLC

Tanner Wells is a financial advisor at AE Wealth Management, LLC with 11 years of industry experience. He holds the Series 66 designation and has worked at AE Wealth Management since 2017. Prior to that, he was with Wittman Capital Management and operated TW Advisors DBA Wells Capital Group, where he is also involved in insurance sales. 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 employs a platform-centered approach combining model portfolios managed internally, by third parties, and by advisors, offering a range of asset management and financial planning services.

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

Series 63, Series 66

Henderson, NV

Hightower Advisors

Shelby Sutter is a financial advisor with Hightower Advisors and holds Series 63 and Series 66 designations. She has 10 years of industry experience, including roles at Wells Fargo Advisors and Wells Fargo Clearing. Outside of her advisory work, she serves as Chair of the Executive Leadership Committee for the Leukemia and Lymphoma Society, where she assists in connecting student visionaries with the community. Hightower Advisors provides investment advisory and planning services to a diverse range of individual and institutional clients. The firm emphasizes manager selection and multi-manager solutions, offering access to affiliated and third-party managers through discretionary and non-discretionary portfolio management, 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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Conner R

Series 66

Henderson, NV

&PARTNERS

Conner Rood is a financial advisor at &PARTNERS with three years of industry experience. He holds a Series 66 designation and previously worked at JPMorgan Chase Bank, N.A. and J.P. Morgan Securities. Prior to his advisory career, he was affiliated with Hamilton College for four years. &PARTNERS serves a diverse client base including individuals, retirement plans, charitable organizations, and sovereign wealth funds. The firm offers both investment advisory and brokerage services, utilizing a combination of proprietary and third-party investment strategies through platforms like Envestnet.

Private / alternative investments Options & derivatives strategies Concentrated stock management Retirement plans for business owners (SEP, solo 401k) General estate planning guidance Founder/Business Owner Executive Retired Financial Professional
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Mickey L

Series 63, Series 65

Las Vegas, NV

Citigroup Global Markets

Mickey Li is a financial advisor at Citigroup Global Markets with 12 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at several firms including Bank of America, Merrill, and Wells Fargo before joining Citigroup in 2022. Based in Las Vegas, NV, he has a background spanning both wealth management and clearing services. Citigroup Global Markets serves individual and institutional clients across multiple wealth segments, offering a broad range of investment advisory programs and execution services. The firm employs multi-asset, multi-manager strategies with robust internal oversight and manages complex market roles, including swap dealing and futures commission services.

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

Series 66

Henderson, NV

Empower Advisory Group

Augustine Elwell is a financial advisor with Empower Advisory Group holding a Series 66 designation and beginning his advisory career in 2026. Prior to joining Empower, he held positions at Bank of America and Raymond James, among others. Empower Advisory Group provides financial planning and investment management primarily to employer-sponsored retirement plan sponsors and their participants, as well as select IRA and retail brokerage clients. The firm’s approach integrates proprietary and third-party methodologies focused on long-term portfolio returns and annual rebalancing within plan lineups chosen by sponsors.

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

Series 63, Series 66

Henderson, NV

Eagle Strategies (NY Life)

Erick Buckley is a financial advisor with Eagle Strategies (NY Life) based in Henderson, NV, holding Series 63 and Series 66 licenses and possessing 22 years of industry experience. He has been affiliated with Eagle Strategies since 2014 and operates Professional Wealth Strategies for selling New York Life products and brokering non-registered insurance products, including disability coverage. Eagle Strategies serves a broad mix of individual and institutional clients, providing financial planning, investment management, and retirement-plan advisory services through a large network of affiliated advisors, with an emphasis on tailored solutions and predominantly non-discretionary asset management.

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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Adam K

Series 63, Series 65

Las Vegas, NV

Eagle Strategies (NY Life)

Adam Knopow is a financial advisor with Eagle Strategies, affiliated with New York Life, holding Series 63 and Series 65 licenses and four years of industry experience. His prior work includes roles at NYLIFE Securities LLC and New York Life Insurance Company. Outside of advising, he is a board member of a local business referral group in Las Vegas, volunteers as a film production cast member, and hosts a podcast promoting local businesses. Eagle Strategies serves a wide range of individual and institutional clients, providing financial planning, investment management, and retirement-plan advisory services through its network of affiliated representatives. The firm offers tailored advice across multiple program types and primarily manages assets on a non-discretionary basis, with a focus on fiduciary responsibilities to retirement investors.

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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Roc W

Series 63, Series 65

Las Vegas, NV

Oppenheimer

Roc Willis is a financial advisor at Oppenheimer with 43 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at Wedbush Securities Inc for 13 years before joining Oppenheimer in 2024. Outside of his advisory role, Willis serves as a trustee managing the administration and settlement of several family trusts and estates. Oppenheimer serves individuals, corporations, pooled vehicles, and retirement plans with a range of advisory programs, including portfolio management, consulting, and financial planning. The firm employs varied investment approaches across its programs and manages approximately $36.7 billion in assets as of December 2025.

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

Series 63, Series 65

Las Vegas, NV

Transamerica Financial Advisors

Carroll Beeson is a financial advisor with Transamerica Financial Advisors, holding Series 63 and Series 65 licenses and 26 years of industry experience. He has held positions with organizations including World Financial Group, Melaleuca, and Sagepoint Financial. Outside of his advisory work, Beeson provides mediation services to individuals undergoing amicable marital transitions through his own mediation practice. Transamerica Financial Advisors serves a diverse client base, offering advisory and broker-dealer services with a variety of fee-based and commission-based investment programs. The firm combines proprietary and third-party model portfolios and supports both discretionary and non-discretionary account management.

ESG / Sustainable investing Concentrated stock management Wealth management Founder/Business Owner
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Joel C

Series 65, Series 63

Henderson, NV

GWN Securities Inc.

Joel Campanella is a financial advisor with GWN Securities Inc. in Henderson, NV, holding Series 65 and Series 63 licenses and 14 years of industry experience. His prior firms include Ameritas Investment Corp., CCF Investments, Inc., and Capital Choice Financial Services. Outside of advising, he is involved in coaching youth hockey and sells sports cards on eBay. GWN Securities provides investment advisory and related services to individuals and corporate clients through a variety of managed account programs and financial planning services. The firm employs a combination of discretionary portfolio management, model portfolios, and tactical strategies including market-timing and momentum-based approaches.

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

Series 66

Henderson, NV

&PARTNERS

Matthew Imhof is a financial advisor with \u0026PARTNERS and holds a Series 66 designation. He has eight years of industry experience, having previously worked at Wiley Bros.-Aintree Capital, LLC, Wells Fargo Advisors, Argent Management, and California Polytechnic State University. \u0026PARTNERS serves a diverse range of clients, including individuals, retirement plans, charitable organizations, and sovereign wealth funds. The firm offers a combination of investment advisory and brokerage services, employing fundamental, technical, and quantitative analysis across proprietary and third-party strategies.

Private / alternative investments Options & derivatives strategies Concentrated stock management Retirement plans for business owners (SEP, solo 401k) General estate planning guidance Founder/Business Owner Executive Retired Financial Professional
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Haley E

Series 65, Series 63

Las Vegas, NV

Planmember Securities Corporation

Haley Evans is a financial advisor with PlanMember Securities Corporation in Las Vegas, NV, holding Series 65 and Series 63 licenses and five years of industry experience. She previously worked at Fidelity Investments for three years and has a background that includes roles in social services and education. PlanMember Securities Corporation provides retirement-plan advisory services to employers and plan participants, serving as an ERISA Section 3(38) fiduciary for many plans. The firm employs a top-down strategic asset allocation approach and manages unitized, risk-based mutual fund portfolios, offering education and support services such as seminars and personalized retirement planning.

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