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Janine P

Series 65

Skokie, IL

Madison Avenue Securities, LLC

Janine Polley is a financial advisor with Madison Avenue Securities, LLC, holding a Series 65 credential and one year of industry experience. She has concurrent roles at Wayne Messmer & Associates and Shaperz Inc., where she is involved in esthetics and laser removal services. Madison Avenue Securities provides investment advisory and brokerage services primarily to individual and high-net-worth clients, offering pension consulting, college-savings assistance, and services for charitable institutions. The firm manages approximately $2.0 billion for around 14,000 clients and employs multiple portfolio management approaches including discretionary and non-discretionary strategies.

Annuities College savings (529s, UTMA, etc.) Founder/Business Owner
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Janet R

Series 66

Schaumburg, IL

Capital Analysts

Janet Redding is a Series 66-licensed financial advisor with 21 years of industry experience. She is currently with Lincoln Investment Planning and has been there since 2013. Capital Analysts serves a diverse client base including individual and high-net-worth investors, retirement plans, trusts, foundations, and corporate clients. The firm offers discretionary and non-discretionary portfolio management, utilizing in-house investment models and third-party managers, and provides services with varying levels of discretionary authority.

Wealth management Tax-loss harvesting ESG / Sustainable investing Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Educators, Teachers, and Academics Founder/Business Owner
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Sean H

Series 66

Schaumburg, IL

Wealth Watch Advisors, INC

Sean Hughes is a Series 66-licensed financial advisor with 11 years of industry experience. He is currently with Wealth Watch Advisors, INC, where he has worked since 2021, and previously worked at FOUNDATIONS INVESTMENT ADVISORS, LLC and Hughes & Dern Financial Group. Outside of his advisory role, he is an independent insurance agent involved in Medicare, life, and annuity sales. Wealth Watch Advisors serves individual, high-net-worth, and institutional clients by providing portfolio management, financial planning, and access to third-party model portfolios. The firm uses a model-driven investment approach implemented through approved sub-advisors and offers services to a diverse client base including pension plans, trusts, and charitable organizations.

Private / alternative investments Options & derivatives strategies Real estate investing Concentrated stock management Founder/Business Owner Retired
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Adam T

CFP®, Series 63, Series 66

Elmhurst, IL

LaSalle St. Investment Advisors, L.L.C.

Adam Tudor is a CFP® professional with seven years of industry experience, currently serving as an advisor at LaSalle St. Investment Advisors, L.L.C. since 2020. Prior to joining LaSalle St., he worked at Indiana Wesleyan University for four years. Outside of his advisory role, he serves as an at-large member of the Norwell Band Booster and acts as co-trustee of his mother's trust account. LaSalle St. Investment Advisors provides personalized, fee-based financial planning and investment supervisory services to individuals, trusts, estates, pension and profit-sharing plans, charitable organizations, and small businesses. The firm offers both non-discretionary and discretionary investment approaches and manages a significant portion of assets on a non-discretionary basis.

Active portfolio management Options & derivatives strategies Executive Founder/Business Owner
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Kathleen C

Series 63, Series 66

Elmhurst, IL

LaSalle St. Investment Advisors, L.L.C.

Kathleen Carrico is a financial advisor at LaSalle St. Investment Advisors, L.L.C. with 33 years of industry experience. She holds the Series 63 and Series 66 designations and has worked at La Salle St. Securities, Inc. since 1992 and Carrollton Bank since 1990, where she serves as Vice President and Trust Officer. Outside of her advisory roles, she is a personal use consultant for Mary Kay Inc. LaSalle St. Investment Advisors serves individuals, trusts, estates, pension and profit-sharing plans, corporations, and charitable organizations with fee-based financial planning and various portfolio management services. The firm employs a range of investment strategies across multiple asset classes and is noted for its predominance of non-discretionary asset management and its use of fee-sharing and co-advisor arrangements.

Active portfolio management Options & derivatives strategies Executive Founder/Business Owner
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Travis S

CFP®, Series 66

Arlington Heights, IL

Ausdal Financial Partners, Inc.

Travis Smyczynski is a CFP® and Series 66 holder with 10 years of industry experience. He has worked at Ausdal Financial Partners, Inc. since 2018 and previously spent three years with Axa Advisors, LLC. Smyczynski is also involved in independent insurance sales on a part-time basis. Ausdal Financial Partners serves individuals, trusts, estates, retirement plans, and business entities, managing approximately $3.73 billion for over 16,000 clients. The firm offers a range of investment advisory and financial planning services, tailoring strategies to client objectives and utilizing multiple custodians and third-party managers.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Retired
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Julian V

Series 63, Series 66

Skokie, IL

Northern Trust Securities, Inc.

Julian Van Ostrand is a financial advisor with Northern Trust Securities, Inc. in Skokie, IL, holding Series 63 and Series 66 credentials and bringing 21 years of industry experience. He has been with Northern Trust Securities since 2008. Northern Trust Securities, Inc. is an SEC-registered investment adviser and FINRA-registered broker-dealer that provides discretionary portfolio management through a model-driven wrap fee program serving high-net-worth individuals, retail investors, and institutional clients. The firm offers a variety of managed account solutions and combines advisory, brokerage, and custody services, including access to both proprietary and third-party investment products.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
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Pamela D

ChFC®, Series 63

Deerfield, IL

Alera Investment Advisors, LLC

Pamela Davis is a financial advisor with Alera Investment Advisors, LLC, holding the ChFC® and Series 63 designations and bringing 40 years of industry experience. Her career includes roles at Securian Financial Services, Minnesota Life, and Triad Advisors, among others. She is also involved with GCG Financial, where she provides fixed business insurance products alongside her advisory work. Alera Investment Advisors, LLC offers investment management, financial planning, and retirement plan advisory services to individuals, families, trusts, businesses, institutions, and retirement plans. The firm employs a mix of internal and external managers focusing on mutual funds, ETFs, equities, and fixed income, and provides ERISA-focused services for retirement plans.

Wealth management
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Robert Y

Series 66

Deerfield, IL

Alera Investment Advisors, LLC

Robert Yastrow is a financial advisor at Alera Investment Advisors, LLC with a Series 66 designation and experience beginning in 2024. His prior roles include positions at Osaic Wealth, Ryan Specialty, and Northmoor Country Club, as well as work related to sports camps and educational institutions. Alera Investment Advisors, LLC provides investment management, financial planning, and retirement plan advisory services to individuals, families, businesses, and institutions. The firm utilizes a combination of internal management, affiliate platforms, and independent managers to construct portfolios with a focus on long-term fundamental analysis and offers a range of ERISA-related services for retirement plans.

Wealth management
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Genevieve M

Series 63, Series 66

Northbrook, IL

Berthel, Fisher & Company Financial Services, Inc.

Genevieve Mar is a financial advisor with Berthel, Fisher & Company Financial Services, Inc., holding Series 63 and Series 66 credentials and over 30 years of industry experience. She has been with Berthel Fisher since 2010 and also serves as a board member for CTG Holdings, an import/export business. Additionally, she participates in the financial steering committee of North Suburban Ev Free Church. Berthel Fisher & Company Financial Services provides investment advisory and financial planning mainly to individual and high-net-worth clients, managing approximately $906 million in client assets across a variety of advisory platforms and customized investment strategies.

Concentrated stock management Options & derivatives strategies Real estate investing Tax-loss harvesting
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Robert J

Series 63, Series 65

Deerfield, IL

Alera Investment Advisors, LLC

Robert Janson is a financial advisor with Alera Investment Advisors, LLC, holding Series 63 and Series 65 credentials and bringing 35 years of industry experience. His career includes roles at Minnesota Life Insurance Company and Ascend Financial Services, both for 20 years, as well as positions at GCG Financial, Triad Advisors, and OSAIC. Outside of finance, he co-owns a jewelry sale and design business with his wife and assists with her interior and exterior design business. Alera Investment Advisors provides investment management, financial planning, and retirement plan advisory services to individuals, families, trusts, businesses, institutions, and retirement plans. The firm utilizes a combination of internal management, affiliate platforms, and independent managers to construct portfolios focused on long-term fundamental analysis across mutual funds, ETFs, equities, and fixed income.

Wealth management
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Mary D

Series 65

Rolling Meadows, IL

Gibbs Wealth Management, LLC

Mary Deutsch is a financial advisor at Gibbs Wealth Management, LLC, holding a Series 65 license with one year of industry experience. She is also the owner and insurance agent of MTD Financial, Inc., and serves as president of Tess Marketing, Inc., a business marketing services company. Additionally, she is a managing member of Eight 22 Alpha, LLC, a real estate investment venture. Gibbs Wealth Management serves individual and high-net-worth clients with discretionary portfolio management and related advisory services, utilizing third-party platforms and strategists. The firm employs a mix of analytical approaches to guide asset allocations and emphasizes risk management, tax efficiency, and guaranteed-income solutions where appropriate.

Options & derivatives strategies Concentrated stock management
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David T

Series 66

Schaumburg, IL

Arete Wealth Advisors, LLC

David Taylor III is a financial advisor at Arete Wealth Advisors, LLC with eight years of industry experience. He holds a Series 66 designation and previously worked at firms including Wells Fargo Clearing Services, LLC and Practice Management Consultants, LLC. Arete Wealth Advisors provides investment advisory and financial planning services to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and businesses. The firm offers discretionary portfolio management, investment consulting, and retirement plan advisory, utilizing a combination of advisor-driven and proprietary model allocations while acting as an ERISA fiduciary when applicable.

Active portfolio management Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Wealth management Executive Founder/Business Owner
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Richard L

CFP®, Series 66

Elmhurst, IL

LaSalle St. Investment Advisors, L.L.C.

Richard London is a CFP® with 19 years of industry experience, currently serving as a financial advisor at LaSalle St. Investment Advisors, L.L.C. He has previously worked at Securities America Advisors, Securities America Inc, and Cooper McManus. Outside of his advisory role, he is involved in insurance sales and manages a family trust through an LLC structure. LaSalle St. Investment Advisors serves individuals, trusts, estates, pension and profit-sharing plans, corporations, and charitable organizations with fee-based financial planning and portfolio management services. The firm employs a range of investment strategies, including both passive and active approaches, and manages a larger portion of assets on a non-discretionary basis.

Active portfolio management Options & derivatives strategies Executive Founder/Business Owner
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Ruth G

Series 63, Series 65

Skokie, IL

Avantax Planning Partners, Inc.

Ruth Goran is a financial advisor with Avantax Planning Partners, Inc. in Skokie, IL, holding Series 63 and Series 65 licenses and bringing 24 years of industry experience. She has been with Avantax Planning Partners since 2001 and maintains a CPA tax practice serving closely held companies and their owners. Outside of her advisory role, she is president of Entertain2Educate, a company focused on developing educational scripts, and is actively involved in several nonprofit organizations in board and treasurer roles. Avantax Planning Partners provides investment advice and related planning primarily to individuals, pension and profit-sharing plans, charitable organizations, and businesses through collaborative referral arrangements with independent CPA firms and registered advisor representatives. The firm employs model-based style allocation strategies and discretionary portfolio management, supported by an Investment Advisory Committee and centralized trading and reporting.

Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Founder/Business Owner Attorney
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Jeannette A

Series 63, Series 65

Itasca, IL

Thurston Springer Advisors

Jeannette Adcock is a financial advisor with Thurston Springer Advisors, holding Series 63 and Series 65 licenses and bringing 39 years of industry experience. She has worked at David A. Noyes & Company since 2017 and previously spent 13 years at Wayne Hummer Investments. Thurston Springer Advisors serves a diverse client base including high-net-worth individuals, corporations, charitable institutions, and retirement plans, offering financial planning, portfolio management, and sub-advisory services. The firm employs a range of investment strategies such as Tactical Momentum and Earnings Momentum, combined with fundamental and technical analysis, and manages accounts primarily on a discretionary basis.

Wealth management General estate planning guidance General retirement planning Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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William K

Series 63, Series 65

Palatine, IL

Ausdal Financial Partners, Inc.

William Karstenson Jr. is a financial advisor with Ausdal Financial Partners, Inc. in Arlington Heights, IL, holding Series 63 and Series 65 licenses and bringing 33 years of industry experience. He has been with Ausdal since 2010 and has operated Karstenson Financial Services since 1997. Outside of his advisory work, Karstenson serves as a permanent deacon for the Archdiocese of Chicago, performing liturgical and ministerial duties. Ausdal Financial Partners is an SEC-registered investment adviser and FINRA-member broker-dealer managing approximately $2.13 billion in client assets through a network of 152 advisors. The firm offers investment advisory programs, retirement plan services, and financial planning to individuals, trusts, corporations, pension plans, and charitable organizations, utilizing a range of discretionary and non-discretionary investment strategies across various asset classes.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Retired
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Timothy B

Series 63, Series 65

Deerfield, IL

Merit Financial Advisors

Timothy Brennan is a financial advisor at Merit Financial Advisors with 37 years of industry experience. He holds Series 63 and Series 65 credentials and previously worked at Pinnacle Financial Group and Commonwealth Financial Network for 26 years. He is also a notary public. Merit Financial Advisors is a multi-team registered investment adviser with over 260 advisors serving more than 20,000 clients across 66 offices. The firm offers coordinated wealth-management services and employs a long-term, diversified investment approach with customizable portfolio models overseen by an internal Investment Management team.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Business ownership considerations Founder/Business Owner Retired Executive
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Christian L

Series 65

Park Ridge, IL

Maia Wealth

Christian Luna is a financial advisor at Maia Wealth with four years of industry experience. He holds a Series 65 designation and has worked at multiple firms, including Wealth Watch Advisors and Senior Solutions LLC. Luna has also served in the United States Naval Reserve. Maia Wealth provides investment advisory and financial planning services to individuals, trusts, estates, and businesses, offering both discretionary and non-discretionary portfolio management. The firm uses a variety of analytical approaches with a long-term focus and coordinates estate-planning and tax services through third-party specialists.

Retirement plans for business owners (SEP, solo 401k)
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George C

Series 63, Series 65

Schaumburg, IL

Virtue Capital Management, LLC

George Clougher is a financial advisor at Virtue Capital Management, LLC with eight years of industry experience. He holds Series 63 and Series 65 licenses and has worked previously at OneAmerica Securities, Red Oak Risk Management, Praxis Capital Management, and Safe Money Concepts. Outside of advisory work, he is involved in non-variable insurance sales, including fixed life and fixed annuities. Virtue Capital Management, LLC is an SEC-registered enterprise investment adviser managing approximately $1.2 billion in discretionary assets for over 4,000 clients through about 90 advisers. The firm offers discretionary portfolio management, financial planning, third-party manager selection, ERISA consulting, and a financial education course for pre-retirees, employing a model-driven investment approach that uses quantitative optimization and proprietary economic data inputs.

Retirement income strategy Social Security optimization Wealth management
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