Aaron Casey is a financial advisor with Transamerica Financial Advisors in San Jose, CA, holding Series 63 and Series 65 licenses and bringing 19 years of industry experience. He has worked with WealthWave since 2015 and has been affiliated with Transamerica Financial Advisors and World Financial Group since 2012 and 2006, respectively. He is involved in the sales of insurance and non-insurance products for companies affiliated with Transamerica Financial Advisors. Transamerica Financial Advisors, LLC provides investment advisory, brokerage, and retirement-plan services to a wide range of clients, including individuals, employer-sponsored plans, trusts, estates, charitable organizations, and businesses. The firm utilizes a model portfolio and third-party manager approach, delivering services through multiple program platforms such as Transamerica ONE, TFA365, and Transamerica ALPHA.

Adam Hospodar is a financial advisor with Rockefeller Financial LLC based in Los Gatos, CA. He holds a Series 66 designation and has three years of industry experience, including prior roles at UBS Financial Services, Inc., Point Digital Finance, and Better Mortgage. Rockefeller Financial LLC serves high-net-worth and ultra-high-net-worth individuals, families, family offices, institutional clients, and corporations. The firm offers a range of portfolio management and financial planning services, operating as both an adviser and registered broker-dealer with integrated investment, trust, and insurance capabilities.

Hui Yao Lu is a financial advisor with Transamerica Financial Advisors, holding Series 63 and Series 65 licenses and bringing 23 years of industry experience. She has been with Transamerica Financial Advisors since 2012 and has additional business involvement as chairman and CEO of Lu and Wang Corp, which manages her business expenses related to her advisory work. Lu maintains a real estate and mortgage license through Gold House Realty and Mortgage, though she conducts minimal activity in that area. Transamerica Financial Advisors serves a wide range of clients, including individual investors, pension plans, trusts, and corporations, offering both advisory and broker-dealer services through proprietary and third-party investment models with discretionary and non-discretionary options.

Daniel Cook is a CFP® professional with 38 years of industry experience, currently serving at VALIC Financial Advisors since 2003. He also holds Series 63 and Series 66 licenses and has an agent role with Agia involving non-securities insurance products. VALIC Financial Advisors serves U.S.-domiciled individual investors, including high-net-worth clients, as well as corporate and retirement-plan participants. The firm offers discretionary managed-account programs, financial planning, and brokerage services, utilizing Envestnet-developed UMA models for portfolio construction.

Thuy Tran is a financial advisor at Focus Advisor Solutions, LLC based in San Jose, CA, with 22 years of industry experience. She holds the Series 66 designation and has worked at Buckingham Strategic Partners, Foreside Financial Services, LLC, Loring Ward Securities Inc., and Lwi Financial Inc. Her career spans roles at firms focused on investment management and advisory services. Focus Advisor Solutions provides turnkey asset management and back-office services primarily to independent registered investment advisors and their clients. The firm offers diversified, systematically invested mutual fund and ETF model portfolios from providers such as Dimensional, Vanguard, and BlackRock, along with discretionary fixed-income management, retirement plan fiduciary services, and operational support.

Bruce Barton is a financial advisor at Savant Wealth Management in Los Gatos, CA, holding CFP®, CFA®, and Series 65 designations with 23 years of industry experience. He previously worked for Parkworth Wealth Management, Inc. (formerly Prialta Advisors, Inc.) for 22 years before joining Savant Wealth Management in 2025. Savant Wealth Management serves individuals, families, pension and profit-sharing plans, charitable organizations, corporations, and high-net-worth clients with comprehensive wealth management and related services. The firm combines evidence-based, model-driven asset allocation with actively managed strategies and offers integrated accounting, legal, and trust services through affiliated entities.

Lan Li is a CFP® and Series 66-licensed financial advisor with 20 years of industry experience. She has worked with HSBC Securities (USA) Inc. since 2012 and HSBC Bank USA N.A. since 2013, and previously held roles at Merrill and Wells Fargo Investments. She also serves as a bank officer for HSBC Bank, engaging in the sale of bank-related products alongside her advisory responsibilities. HSBC Securities (USA) Inc. provides managed account programs to individuals, retirement accounts, charitable organizations, and corporations through various discretionary and non-discretionary platforms. The firm employs a multi-model investment approach supported by HSBC Global Asset Management and affiliated providers, and serves clients through assigned Investment Adviser Representatives who handle suitability and ongoing account management.

Manya Bhutani is a financial advisor at Cerity Partners LLC based in San Jose, CA, holding a Series 65 designation with one year of industry experience. Prior to joining Cerity Partners in 2024, Bhutani held roles at Bank of Hope and Internet Brands and completed a decade of full-time education. Cerity Partners advises a diverse client base including high-net-worth individuals, families, trusts, and institutional investors, managing approximately $166.2 billion in client assets as of December 31, 2025. The firm offers customized wealth management services and employs a client-specific investment framework that combines proprietary quantitative methods with third-party strategies and direct security selection.

Kyle Certo is a financial advisor at Empower Advisory Group with five years of industry experience. He holds Series 66 and Series 63 licenses and has previously worked at GWFS Equities, Xactly Corp., and Proofpoint Inc. Empower Advisory Group provides financial planning and investment management primarily to employer-sponsored retirement plan sponsors and their participants, as well as to certain retail brokerage clients. The firm’s integrated services focus on long-term portfolio returns and savings rates, delivered through platforms affiliated with Empower’s recordkeeping and administrative systems.

Yasser Ahmad is a Certified Financial Planner (CFP®) with 14 years of industry experience. He is currently with Independent Financial Group, LLC and has previously worked at Growth Capital Services, Direct Lending Investments, TD Ameritrade, Wells Fargo Advisors, and Banc of America Investment Services. Ahmad is also a 50% owner of Laurelwood Capital Management and Ahmad & Betancourt, Inc., entities used for marketing and tax/investment purposes, respectively, and holds a California insurance agent license offering various insurance products. Independent Financial Group, LLC provides investment advisory and brokerage services to individuals, high-net-worth clients, trusts, corporate and pension/profit-sharing plans, and charitable organizations. The firm offers customized financial planning and portfolio management using both firm- and third-party models, combining strategic asset allocation and ongoing due diligence with a mix of passive and active investment exposures.

Honglin Wu is a financial advisor with Citigroup Global Markets Inc. holding a Series 66 designation and three years of industry experience. Prior to joining Citigroup, Wu worked at Morgan Stanley, Moomoo Financial Inc., and Futu Inc. He is based in San Jose, CA. Citigroup Global Markets serves individual and institutional clients across various wealth segments, offering multi-asset, multi-manager investment strategies through discretionary and non-discretionary programs. The firm combines large institutional scale with specialized market roles, including acting as a security-based swap dealer and futures commission merchant, and provides a broad range of advisory and execution services.

Sheldon Mcfarland is an investment advisor with Focus Advisor Solutions, LLC, holding Series 63 and Series 65 licenses and 23 years of industry experience. He has worked at Focus Advisor Solutions since 2018 and previously spent 12 years with LWI Financial Inc. and Loring Ward Securities Inc. Mcfarland also serves as Vice President of Portfolio Strategy and Research at Focus Partners Advisor Solutions, LLC. Focus Advisor Solutions provides turnkey asset management and back-office services primarily to independent registered investment advisors, offering model portfolios, operational support, and fixed-income sub-advisory and retirement plan management services. The firm combines enterprise scale with a relatively small advisor base, managing approximately $41 billion in assets for over 33,000 clients.

Steven Wong is a financial advisor with Transamerica Financial Advisors in Santa Clara, CA, holding Series 63 and Series 65 licenses and with 13 years of industry experience. His career includes roles at Dream Builder Financial and WFGIA, and he has worked at Transamerica Financial Advisors or its affiliates for over a decade. Outside of finance, he is involved with Qantel Technologies Inc., where he has had a long tenure since 1981. Transamerica Financial Advisors serves a wide range of clients, including individuals, pension plans, trusts, and corporations, offering both advisory and broker-dealer services through proprietary model portfolios and third-party managers. The firm operates uniquely as both a registered broker-dealer and RIA, supporting its clients with affiliated retirement and recordkeeping services.

Suruchi Rastogi is a financial advisor at Rockefeller Financial LLC with a Series 66 designation and one year of industry experience. Prior to joining Rockefeller Financial, she worked at LPL Financial and held various positions including at UC Santa Cruz and Med Pro Group. Rockefeller Financial LLC serves high-net-worth and ultra-high-net-worth individuals, families, family offices, institutional clients, retirement plans, foundations, and corporations. The firm combines a Private Advisor model with a consolidated investment platform, offering discretionary and non-discretionary portfolio management, financial planning, consulting, and broker-dealer services including placement and investment banking.

Lisa Ozaki is a CFP® with two years of industry experience, currently serving as a financial advisor at Mariner in Los Altos, CA. She has previously worked at Summitry, LLC and Allworth Financial. Mariner is an enterprise firm that serves a diverse client base, including high-net-worth individuals, pension plans, trusts, and corporations. The firm offers investment management, financial planning, retirement consulting, and integrated tax and family office services, utilizing customized portfolios overseen by an internal investment committee.

Yuju Hsiung is a financial advisor at Transamerica Financial Advisors with 15 years of industry experience. She holds Series 63 and Series 65 licenses and has prior work experience including roles at Kaiser Permanente Health Insurance and as president of Yuju Consulting Inc. In addition to her advisory work, she is involved in network marketing for nutrient supplements through Beauty Stem Biomedical. Transamerica Financial Advisors serves a diverse client base including individual investors, pension plans, trusts, and corporations, offering both advisory and broker-dealer services. The firm provides access to proprietary and third-party model portfolios, with discretionary and non-discretionary program options.

Yuhan He is a financial advisor with HSBC Securities (USA) Inc. in Cupertino, CA, holding a Series 66 license and two years of industry experience. Prior to joining HSBC Securities, He worked at HSBC Bank USA N.A. and has diverse experience including roles in education and the food service industry. He also co-founded HafenDew LLC, a social networking-relationship app, where he is involved in marketing research and search engine optimization. HSBC Securities (USA) Inc. provides managed account programs to individuals, retirement accounts, charitable organizations, and corporations, offering both client-directed and discretionary investment options. The firm employs a structured investment process combining strategic and tactical asset allocation and works with affiliated providers for fund selection and account management.

Hector Gama is a Certified Financial Planner® affiliated with Carson Wealth, with 10 years of industry experience. His prior roles include positions at Morgan Stanley Private Bank and Charles Schwab. Carson Wealth is an SEC-registered investment adviser operating an enterprise platform with over 650 advisors and approximately $50.6 billion in assets under management. The firm serves corporate, institutional, and high-net-worth clients, offering discretionary asset management, financial planning, and tailored investment solutions overseen by an Investment Committee.

Boaz Chan is a financial advisor at Rockefeller Financial LLC with 21 years of industry experience. He holds the Series 66 designation and previously worked at Morgan Stanley and First Republic Investment Management. Rockefeller Financial LLC serves high-net-worth and ultra-high-net-worth individuals, families, family offices, institutional clients, retirement plans, foundations, and corporations. The firm offers a range of portfolio management and financial planning services, and operates as a registered broker-dealer providing securities transactions, variable insurance products, and placement and investment banking services.

Vinh Do is a financial advisor at Empower Advisory Group with 16 years of industry experience. He holds Series 63, 65, and 66 licenses and has worked at firms including Mutual of America Securities LLC and Cetera Investment Services LLC. Based in San Jose, CA, he has been with Empower Advisory Group since 2024. 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 clients. The firm uses an integrated approach tied to its recordkeeping and administrative platforms, offering both point-in-time financial plans and optional managed account solutions.