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Seth R

Series 63

Brentwood, TN

Apollon Wealth Management, LLC

Seth Radow is a financial advisor with Apollon Wealth Management, LLC, holding a Series 63 designation and over 40 years of industry experience. His prior roles include positions at Purshe Kaplan Sterling Investments, Inc. and Raymond James & Associates. Outside of finance, he is a partner and instructor at Kempo DD Martial Arts in Brentwood, Tennessee. Apollon Wealth Management is an SEC-registered multi-team adviser serving individuals, families, trusts, businesses, charitable organizations, and pooled investment vehicles. The firm combines centrally managed strategies with locally managed portfolios and offers a range of services including financial planning, portfolio management, retirement plan advisory, and sub-advisory for private funds.

ESG / Sustainable investing Tax-loss harvesting Private / alternative investments Business exit / sale strategy Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Sean C

CFP®, Series 63, Series 65

Brentwood, TN

RFG Advisory, LLC

Sean Cawley is a CFP®-certified financial advisor with 10 years of industry experience. He is currently with RFG Advisory, LLC and has previously worked at Northwestern Mutual in various capacities from 2015 to 2021. RFG Advisory is a multi-team registered investment adviser with approximately 178 advisors managing around $8 billion for over 17,000 clients, including individuals, high-net-worth households, trusts, retirement plans, and institutional accounts. The firm offers portfolio management, financial planning, retirement plan consulting, and access to third-party and proprietary investment strategies.

Options & derivatives strategies Concentrated stock management Retirement plans for business owners (SEP, solo 401k) College savings (529s, UTMA, etc.) Founder/Business Owner Educators, Teachers, and Academics Doctor or Medical Professional Executive Women Professionals
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David B

Series 66

Franklin, TN

Advisory Services Network

David Biggs is a financial advisor at Advisory Services Network with 20 years of industry experience. He holds a Series 66 designation and has worked at COVA Wealth Management and Raymond James Financial Services from 2015 to 2022. In addition to his advisory role, he teaches night courses as a professor at Middle Tennessee State University. Advisory Services Network serves individuals, families, corporations, and charitable organizations by providing portfolio management, financial planning, and retirement-plan consulting through a network of approximately 208 independent advisors managing about $8.6 billion in assets. The firm offers tailored investment strategies across various asset classes and multiple implementation options to align with client objectives.

Wealth management Private / alternative investments Business succession planning Equity compensation tax strategy Founder/Business Owner Executive
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John B

Series 65

Franklin, TN

Sagespring Wealth Partners

John Baugh is a financial advisor at SageSpring Wealth Partners in Franklin, TN, holding a Series 65 designation with over a decade of experience. He has been associated with Lay & Baugh Law since 2013. SageSpring Wealth Partners is an SEC-registered advisory firm managing approximately $6.5 billion in discretionary assets with around 75 advisors. The firm serves a diverse client base, including high-net-worth individuals, charitable organizations, corporations, and retirement plans, offering personalized investment management, financial planning, and retirement plan consulting.

Options & derivatives strategies Private / alternative investments Executive Founder/Business Owner
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Mitchell M

Series 63, Series 65, Series 66

Nashville, TN

OneAscent Financial Services LLC

Mitchell Martin is an investment advisor representative at OneAscent Financial Services LLC with 23 years of industry experience. He holds Series 63, Series 65, and Series 66 designations. Martin has worked at Stonebridge Investment Counsel, Inc. since 2002, where he serves as president and dedicates approximately half of his time. OneAscent Financial Services LLC is a multi-team registered investment adviser that serves individuals, retirement plans, trusts, broker/dealers’ customers, and institutions. The firm offers both discretionary and non-discretionary asset management, financial planning, and Unified Managed Account solutions, utilizing individualized asset-allocation guidelines and various model-based platforms.

Wealth management Tax-loss harvesting Private / alternative investments Options & derivatives strategies Real estate investing Executive
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Douglas G

Series 66

Brentwood, TN

Infinity Financial Services Advisory

Douglas Grau is a financial advisor at Infinity Financial Services Advisory with 16 years of industry experience. He holds a Series 66 designation and previously worked at Principal Life Insurance Company and Principal Securities Inc. Outside of his advisory role, Grau is involved in operational support for American Rebel, Inc. and manages music royalties through Grau & Associates, LLC dba Yell Records. Infinity Financial Services Advisory serves individuals, pension and profit-sharing plans, charitable organizations, and small businesses. The firm provides discretionary portfolio management and financial planning using a range of investment strategies and analytical methods tailored to clients’ goals and risk tolerance.

Options & derivatives strategies
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Jacob G

Series 66

Nashville, TN

Sound Income Strategies, LLC

Jacob Graves is a financial advisor at Sound Income Strategies, LLC with one year of industry experience. He holds a Series 66 designation and has previously worked at Cetera, Shoemaker Financial, and Generational Wealth Management. Outside of advisory roles, he is involved with Retirement Income Solutions, LLC, focusing on fixed insurance sales and client acquisition. Sound Income Strategies, LLC manages approximately $4.0 billion in assets, serving individuals, pension plans, trusts, estates, corporations, and other advisers. The firm offers customized portfolio management with an emphasis on fixed-income analysis and equity review, operating a scalable advisor network supported by affiliated business lines and training.

Income planning Annuities Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Leroy B

Series 63, Series 65

Brentwood, TN

Keel Point, LLC

Leroy Bizzell Jr. is a financial advisor at Keel Point, LLC with 26 years of industry experience. He has held positions at Keel Point since 2016 and previously worked at Wfg Investments, Inc. from 2010 to 2016. Bizzell holds Series 63 and Series 65 licenses and serves as a finance team member at Christ Community Church, where he reviews the church’s financial statements monthly. Keel Point, LLC is a multi-team registered investment adviser managing approximately $4.07 billion, serving individuals, institutional investors, retirement plan sponsors, and corporations. The firm employs a team-based approach combining fundamental and quantitative analysis to deliver customized portfolio management, financial planning, and consulting services across various asset classes.

General retirement planning Income planning Equity compensation tax strategy Wealth management Private / alternative investments Executive Founder/Business Owner Established Professionals
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Carl M

Series 63, Series 65

Nashville, TN

United Capital Financial Advisors

Carl Mcdonald is a financial advisor at United Capital Financial Advisors with 38 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Girard Securities, Inc. and Goldman Sachs & Co. Since 1986, he has also been self-employed in life and disability insurance sales. United Capital Financial Advisors provides financial planning and investment management services nationally to a diverse client base, including individuals, corporations, retirement plans, and charitable organizations, utilizing discretionary portfolio management and access to a range of investment strategies.

ESG / Sustainable investing Annuities Founder/Business Owner Retired Values-based investing Religious/faith focused
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Jordan W

CFP®, Series 66

Franklin, TN

Sagespring Wealth Partners

Jordan Wedell is a CFP® professional with nine years of industry experience, currently serving as a financial advisor at SageSpring Wealth Partners. He was previously with Raymond James Financial Services for eight years. Wedell works as the lead advisor for the Wedell Wealth Team within SageSpring. SageSpring Wealth Partners serves a diverse client base that includes individual households across wealth levels as well as institutional and plan sponsor clients. The firm offers discretionary investment management, financial planning, retirement plan consulting, and oversight of third-party money managers, utilizing a variety of investment strategies tailored to client objectives and risk tolerance.

Options & derivatives strategies Private / alternative investments Executive Founder/Business Owner
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Scott W

Series 63, Series 65

Franklin, TN

Advisory Services Network

Scott Williams is a financial advisor with Advisory Services Network, LLC, holding Series 63 and Series 65 licenses and bringing 32 years of industry experience. His prior roles include positions at LPL Financial, LLC, and Raymond James Financial Services. Advisory Services Network serves individuals, families, corporations, charitable organizations, and employer retirement plans through a network of independent Investment Adviser Representatives. The firm offers portfolio management, financial planning, investment and retirement-plan consulting, and third-party manager selection, overseeing approximately $8.6 billion in client assets.

Wealth management Private / alternative investments Business succession planning Equity compensation tax strategy Founder/Business Owner Executive
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Derek S

Series 66

Brentwood, TN

StoneX Advisors Inc.

Derek Samples is a financial advisor with StoneX Advisors Inc. in Brentwood, TN, holding a Series 66 credential and five years of industry experience. He has worked with StoneX Advisors Inc., StoneX Securities Inc., and Morris, Smith and Hayden Wealth Management, where he also serves as a financial advisor involved in client administration and marketing. StoneX Advisors Inc. serves individuals, corporations, retirement plans, and charitable organizations by providing portfolio management, financial planning, ERISA consulting, and related services through a combination of independent advisors and an in-house Private Client Group. The firm employs a variety of model-based and third-party manager solutions, supported by platforms such as Envestnet and Advyzon, and operates as part of the broader StoneX Group.

ESG / Sustainable investing
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Adam S

Series 63, Series 65

Brentwood, TN

PKS Advisory Services, LLC

Adam Smith is a financial advisor at PKS Advisory Services, LLC with 16 years of industry experience. He holds Series 63 and Series 65 licenses and has worked previously at Terra Wealth Management, Purshe Kaplan Sterling Investments, PFS Investments Inc, and Primerica Financial Services. Outside of his advisory work, he is involved in raising and selling beef calves on his family farm in Bell Buckle, Tennessee. PKS Advisory Services, LLC provides financial planning, consulting, and investment management to individuals, trusts, estates, and business entities. The firm manages approximately $905 million in assets and offers tailored portfolios using a mix of mutual funds, ETFs, independent managers, and individual securities, conducting account reviews at least quarterly.

Wealth management
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Arthur B

CFP®, Series 65

Franklin, TN

Savvy

Arthur Buckley is a CFP® with 19 years of industry experience. He is currently with Savvy and previously worked at Sanctuary Advisors LLC and United Capital Financial Advisers, LLC. Buckley is the owner of Buckley Management, LLC, which operates his advisory practice ACEAL Management, LLC, and oversees a tax preparation and planning service through licensed CPAs. Savvy offers investment and financial planning services to individuals, trusts, estates, businesses, ERISA plan sponsors, and charitable organizations. The firm builds customized investment plans using a primarily index-based, long-term approach combined with active equity portfolios and tax-aware direct indexing, supported by third-party sub-advisers and fintech tools.

Concentrated stock management ESG / Sustainable investing Options & derivatives strategies Private / alternative investments Tax-loss harvesting Founder/Business Owner Executive HENRY (High Earners, Not Rich Yet)
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Nicola D

CFP®, Series 63

Franklin, TN

Kovack Advisors, inc.

Nicola Di Paolo is a CFP® with 23 years of industry experience, currently serving at Kovack Advisors, Inc. since 2020. His prior roles include positions at Vanderbilt Securities and Cambridge Investment Research. He also operates DiPaolo Wealth Management LLC, where he acts as president and an independent insurance agent. Kovack Advisors, Inc. is an SEC-registered enterprise investment adviser serving a diverse client base that includes individuals, corporations, and financial institutions nationwide. The firm emphasizes diversified asset-class exposure primarily through mutual funds and ETFs and offers both discretionary and non-discretionary asset management alongside financial planning and third-party manager recommendations.

Wealth management Retirement plans for business owners (SEP, solo 401k) Executive Founder/Business Owner
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Jeffrey R

Series 63, Series 65

Brentwood, TN

Kovack Advisors, inc.

Jeffrey Russell is a financial advisor with Kovack Advisors, Inc. in Brentwood, TN, holding Series 63 and Series 65 licenses and bringing 32 years of industry experience. He previously worked at Morgan Stanley Private Bank and Morgan Stanley Smith Barney for a combined total of 17 years. Kovack Advisors, Inc. is a multi-team registered investment adviser with approximately 260 advisors and over $6 billion in client assets. The firm serves individuals, pension and profit-sharing plans, charitable organizations, banks, and government clients, offering portfolio management, financial planning, and sub-advisory services through a structured investment process supported by Envestnet.

Wealth management Retirement plans for business owners (SEP, solo 401k) Executive Founder/Business Owner
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Mary G

CFP®, Series 63

Franklin, TN

Sagespring Wealth Partners

Mary Gilmer is a CFP®-certified financial advisor with five years of industry experience, currently with SageSpring Wealth Partners. She previously worked at Raymond James Financial Services and Warren Averett Asset Management. Outside of her advisory role, she is a partner and owner of Stone Builders Group, a business unrelated to investment activities. SageSpring Wealth Partners serves a diverse clientele, including individual and institutional clients such as retirement plans, banks, and sovereign wealth funds. The firm provides discretionary investment management, financial planning, and retirement consulting, employing tailored portfolios and a mix of fundamental and technical analysis alongside third-party manager relationships and platform services.

Options & derivatives strategies Private / alternative investments Executive Founder/Business Owner
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Daniel S

Series 65

Nashville, TN

The Fiduciary Alliance

Daniel Stephen is a financial advisor with The Fiduciary Alliance in Nashville, TN. He holds a Series 65 designation and has over 30 years of industry experience, including his ongoing role at Stephen & Associates since 1995. The Fiduciary Alliance serves individual clients, including high-net-worth individuals, as well as retirement plans and other investment advisers. The firm offers discretionary portfolio management, comprehensive financial planning, and estate-planning support, using a combination of fundamental, technical, cyclical, and charting analysis in its investment approach.

Business ownership considerations Business exit / sale strategy Retirement plans for business owners (SEP, solo 401k) General estate planning guidance Tax strategies for small businesses Founder/Business Owner Executive
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Alvin S

Series 63, Series 65

Brentwood, TN

Silver Oak Securities, Incorporated

Alvin Smith II is a financial advisor at Silver Oak Securities, Incorporated with 33 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Silver Oak Securities since 2014. He is also the managing partner of Vision Financial LLC, an insurance agency affiliated with Vision Asset Management, focusing on marketing 401(k) and other investment-related services. Silver Oak Securities serves individuals, pension and profit-sharing plans, corporations, trusts, and other entities through a large team of financial professionals managing approximately $2.4 billion in discretionary assets. The firm offers a variety of advisory programs emphasizing discretionary, customized investment management tailored to client objectives and risk tolerances.

Charitable giving & philanthropy Executive Founder/Business Owner HENRY (High Earners, Not Rich Yet)
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Rory H

CFP®, Series 66

Brentwood, TN

RFG Advisory, LLC

Rory Hartmann is a CFP®-certified financial advisor with 13 years of industry experience, currently serving at RFG Advisory, LLC. His prior work includes roles at Northwestern Mutual Wealth Management Company and its affiliated entities from 2011 to 2021. RFG Advisory is a multi-team registered investment adviser with approximately 179 advisors managing around $8 billion for over 17,000 clients, including individuals, trusts, and institutional accounts. The firm employs a mix of actively managed and passive strategies with risk-managed sleeves and offers access to proprietary models, alternative investments, and annuity management.

Options & derivatives strategies Concentrated stock management Retirement plans for business owners (SEP, solo 401k) College savings (529s, UTMA, etc.) Founder/Business Owner Educators, Teachers, and Academics Doctor or Medical Professional Executive Women Professionals
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