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Kevin N

Series 63, Series 65

Downers Grove, IL

Ausdal Financial Partners, Inc.

Kevin Newman is a financial advisor at Ausdal Financial Partners, Inc. with 39 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Ausdal Financial Partners since 2009. Newman is also the owner of Newman & Associates, Ltd, a fixed life insurance and annuities business he has operated since 1983. Ausdal Financial Partners is an SEC-registered investment adviser and FINRA-member broker-dealer that manages over $2 billion in client assets. The firm provides investment advisory programs, retirement plan services, and financial planning to individuals, trusts, corporations, pension plans, and charitable organizations, offering both discretionary and non-discretionary investment strategies across a variety of asset classes.

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

Series 66

Elmhurst, IL

Lasalle St. Investment Advisors, L.L.C.

Steven Cook is a financial advisor with LaSalle St. Investment Advisors, L.L.C., holding a Series 66 designation and bringing 10 years of industry experience. His work history includes roles at LaSalle St. Investment Advisors, LaSalle St. Securities, Ipava State Bank, and Edward Jones. Outside of advising, he is involved with Fortress Insurance Services Inc. LaSalle St. Investment Advisors provides fee-based financial planning and investment supervisory services to individuals, trusts, pension plans, charitable organizations, and small businesses. The firm offers both non-discretionary and discretionary investment programs, emphasizing a predominantly non-discretionary asset management approach.

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

ChFC®, Series 63, Series 66

Elmhurst, IL

Lasalle St. Investment Advisors, L.L.C.

Christopher Sacco is a financial advisor at LaSalle St. Investment Advisors, L.L.C. with 22 years of industry experience. He holds the ChFC® designation and has worked at LaSalle St. Investment Advisors since 2021, previously serving at Comprehensive Asset Management & Servicing, Inc. and Retirement Planning Specialists, Inc. Outside of his primary role, he acts as an insurance agent for American Brokerage Services, assisting clients with fixed annuities. LaSalle St. Investment Advisors provides personalized, fee-based financial planning and investment supervisory services to a broad client base including individuals, trusts, estates, pension plans, and charitable organizations. The firm offers both non-discretionary and discretionary management programs, emphasizing a non-discretionary approach uncommon among large advisory firms.

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

Series 65

Downers Grove, IL

Highpoint Planning Partners

Mark Geoffrey is a Series 65-licensed financial advisor with nine years of industry experience. He is currently with HighPoint Planning Partners and has previously worked at Level Four Advisory Services and Geoffrey, Johns & Associates, LLC. Outside of his advisory work, he serves as president of Bear Acquisitions, Inc., a machine shop. HighPoint Advisor Group serves individual clients, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporate entities. The firm provides discretionary asset management and financial planning, using fundamental analysis to implement diversified portfolios and utilizing third-party and sponsored program platforms to deliver advisory services.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Wealth management Founder/Business Owner Executive
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Gerri M

Series 63, Series 65

Elmhurst, IL

Lasalle St. Investment Advisors, L.L.C.

Gerri Michalski is a financial advisor with LaSalle St. Investment Advisors, L.L.C. She holds Series 63 and Series 65 licenses and has 14 years of industry experience. Michalski has been affiliated with LaSalle St. Securities, L.L.C. since 1999. Outside of financial advising, she is involved in travel planning through her work with a travel agency. LaSalle St. Investment Advisors provides 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 programs, utilizing a variety of asset-allocation models and investment vehicles.

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

Series 63, Series 65

Lombard, IL

Capital Analysts

Zachary Craggs is a financial advisor with Capital Analysts in Lombard, IL, holding Series 63 and Series 65 licenses and bringing nine years of industry experience. He has worked at Lincoln Investment since 2016 and previously spent time at Berlin Packaging. Capital Analysts serves a diverse client base including individual and high-net-worth investors, retirement plans, trusts, foundations, charitable organizations, and corporate clients. The firm provides discretionary and non-discretionary portfolio management through various programs and emphasizes a fiduciary role with access to proprietary investment research and model portfolios.

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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Brian V

CFP®

Downers Grove, IL

JMG Financial Group Ltd

Brian Van Buren is a CFP® professional at JMG Financial Group Ltd with nine years of industry experience. He has been with JMG Financial Group since 2013. JMG Financial Group provides wealth management, portfolio management, and financial consulting services to individuals, trusts, retirement plans, business entities, and charitable organizations. The firm employs a planning-based, long-term investment approach focused on strategic asset allocation and offers specialized services including in-house tax consulting and private investment fund advice.

Tax-loss harvesting Private / alternative investments Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Wealth management
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Walid M

Series 65, Series 63

Downers Grove, IL

Highpoint Planning Partners

Walid Matariyeh is a financial advisor with Highpoint Planning Partners in Downers Grove, IL, holding Series 65 and Series 63 licenses and having one year of industry experience. His prior experience includes roles at Ernst & Young, RSM, PricewaterhouseCoopers, and Grant Thornton. Outside of advisory services, he is a partner at HTS Accounting & Tax and manages educational businesses focused on teaching coding to children. HighPoint Advisor Group serves individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporate entities with services including discretionary asset management, financial planning, and retirement plan advisory. The firm builds investment policies through client consultations and implements portfolios using fundamental analysis across a variety of asset classes and third-party platforms.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Wealth management Founder/Business Owner Executive
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Kevin S

Series 63, Series 65

Downers Grove, IL

Ausdal Financial Partners, Inc.

Kevin Shekell is a financial advisor at Ausdal Financial Partners, Inc. with 15 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at Jackson National Life Distributors for 10 years. He is also involved in insurance sales and operates Shekell Wealth Management, LLC. Additionally, he serves as a notary public. 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, employing a range of discretionary and non-discretionary 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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Keith P

CFP®

Oakbrook Terrace, IL

Mariner Independent

Keith Plywaczynski is a CFP® professional with 14 years of industry experience. He is the founder and CEO of Fortitude Financial Partners and currently serves as an advisor at Mariner Independent. His prior experience includes roles at Mariner Wealth Advisors and Mariner Platform Solutions. Mariner Independent provides investment advisory, financial planning, and consulting services to a diverse client base including individuals, trusts, charitable organizations, corporations, and retirement plans. The firm offers portfolio management, model portfolios, and access to third-party managers, with a notable integration of institutional and retirement plan resources.

Options & derivatives strategies Private / alternative investments Tax-loss harvesting Founder/Business Owner Retired
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Christopher H

CFP®, Series 66

Downers Grove, IL

Ausdal Financial Partners, Inc.

Christopher Hurckes is a CFP® professional with six years of industry experience, currently serving as an advisor at Ausdal Financial Partners, Inc. since 2019. Prior to his advisory roles, he worked at Athletico Physical Therapy from 2012 to 2019. He is also a board member of the McHenry Chamber of Commerce, engaging in community activities. Ausdal Financial Partners is an SEC-registered investment adviser and FINRA-member broker-dealer managing over $2 billion in client assets. The firm offers a range of advisory programs, retirement services, and financial planning to individuals, trusts, corporations, pension plans, and nonprofits, implementing strategies through discretionary and non-discretionary accounts with access to multiple custodians and investment products.

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

Series 63, Series 65

Elmhurst, IL

Lasalle St. Investment Advisors, L.L.C.

Robert Widman Jr. is a financial advisor at LaSalle St. Investment Advisors, L.L.C. in Elmhurst, Illinois, holding Series 63 and Series 65 licenses with 31 years of industry experience. He has been with LaSalle St. Investment Advisors since 2009 and has worked with its affiliated broker-dealer, LaSalle St. Securities, since 2003. 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, offering both non-discretionary and discretionary investment approaches. The firm manages a predominance of non-discretionary assets and utilizes a mix of asset-allocation models, mutual funds, ETFs, equities, fixed income, and options.

Active portfolio management Options & derivatives strategies Executive Founder/Business Owner
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Jessica H

Series 66

Lombard, IL

Forum Financial Management, Lp

Jessica Haages is a financial advisor at Forum Financial Management, LP with eight years of industry experience. She holds a Series 66 designation and has worked previously at Raymond James & Associates and Cetera Investment Services LLC. Outside of her advisory role, she is involved with Sorrento's Restaurant. Forum Financial Management, LP provides investment advisory services to individuals, retirement plan sponsors, charitable organizations, and institutional clients. The firm utilizes model asset-allocation portfolios based on Modern Portfolio Theory and offers a range of services including portfolio management, financial planning, and sub-advisory support to independent advisors and RIAs.

Wealth management Passive / index investing ESG / Sustainable investing Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Retired Mid-Career Professionals
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Christopher F

Series 63, Series 66

Downers Grove, IL

Highpoint Planning Partners

Christopher Ferraro is a financial advisor with Highpoint Planning Partners, holding Series 63 and Series 66 licenses and having 13 years of industry experience. His prior experience includes roles at Northern Trust Securities, Wells Fargo Clearing, and JP Morgan Securities. Ferraro is dually registered with HighPoint Advisor Group, LLC and LPL Financial. HighPoint Advisor Group serves a range of clients including individuals, pension plans, trusts, and charitable organizations, offering discretionary asset management, financial planning, retirement plan advisory, and wrap-fee program management. The firm uses fundamental analysis and a variety of investment vehicles, as well as third-party and LPL-sponsored platforms, to implement customized investment policies.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Wealth management Founder/Business Owner Executive
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William D

CFP®, Series 65

Lombard, IL

Forum Financial Management, Lp

William Davis is a Certified Financial Planner® (CFP®) with seven years of experience at Forum Financial Management, LP, where he has been employed since 2015. He serves as Treasurer for the Lake Eleanor Estates Homeowners' Association, overseeing finances and managing expenditures. Forum Financial Management, LP provides fee-based wealth management, financial planning, qualified plan services, and educational workshops to individual and institutional clients. The firm also acts as a sub-advisor and turnkey asset management platform for other independent RIAs, implementing portfolios primarily with DFA mutual funds and ETFs following a Modern Portfolio Theory approach.

Wealth management Passive / index investing ESG / Sustainable investing Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Retired Mid-Career Professionals
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Heather C

Series 65, Series 63

Downers Grove, IL

Highpoint Planning Partners

Heather Corley is a financial advisor with Highpoint Planning Partners, holding Series 65 and Series 63 licenses and bringing seven years of industry experience. She has worked at HighPoint Advisor Group since 2021 and previously at LPL Financial, Trapp Financial, and Brookstone Capital Management. Outside of advising, she provides administrative support to HighPoint Advisor Group LLC. HighPoint Advisor Group serves individuals, including high-net-worth clients, as well as pension plans, trusts, estates, charitable organizations, and corporate entities. The firm offers discretionary asset management, financial planning, retirement plan advisory, and sponsors a wrap-fee program, employing fundamental analysis and a range of investment vehicles along with third-party and LPL-sponsored platforms.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Wealth management Founder/Business Owner Executive
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Patrick K

ChFC®, Series 63, Series 65

Woodridge, IL

Madison Avenue Securities, LLC

Patrick Keenan is a financial advisor at Madison Avenue Securities, LLC with 40 years of industry experience. He holds the ChFC® designation along with Series 63 and Series 65 licenses. Prior to joining Madison Avenue Securities, he worked at Sagepoint Financial, Inc. for 14 years and OSAIC for 2 years. He is also president of Financial Security Consultants, Inc., an insurance sales and services firm. Madison Avenue Securities provides investment advisory and related services to individual clients, charitable institutions, foundations, trusts, and employer-sponsored retirement plans. The firm manages approximately $2.0 billion in assets and offers a range of portfolio management, financial planning, and consulting services through its network of investment adviser representatives.

Annuities College savings (529s, UTMA, etc.) Founder/Business Owner
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Kimberly T

Series 66

Downers Grove, IL

Highpoint Planning Partners

Kimberly Taylor is a financial advisor at HighPoint Planning Partners with 19 years of industry experience. She holds a Series 66 designation and has worked at VANTAGE FINANCIAL PARTNERS Limited for 18 years before joining HighPoint Advisor Group, LLC in 2024. HighPoint Advisor Group serves individuals—including high-net-worth clients—as well as pension plans, trusts, estates, charitable organizations, and corporate entities. The firm offers discretionary asset management and financial planning, implementing portfolios through fundamental analysis and a range of investment vehicles while utilizing multiple platforms to deliver advisory services.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Wealth management Founder/Business Owner Executive
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John V

Series 63, Series 66

Downers Grove, IL

Highpoint Planning Partners

John Vandervoorn is a financial advisor with HighPoint Planning Partners, holding Series 63 and Series 66 licenses and bringing 25 years of industry experience. He has worked at firms including Level Four Advisory Services and LPL Financial. HighPoint Advisor Group serves a wide range of clients, including individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporate entities. The firm offers discretionary asset management and financial planning services, implementing investment strategies through fundamental analysis and various platforms, including LPL-sponsored programs.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Wealth management Founder/Business Owner Executive
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Joseph D

Series 65

Elmhurst, IL

Lasalle St. Investment Advisors, L.L.C.

Joseph De Marco is a financial advisor with LaSalle St. Investment Advisors, L.L.C., holding a Series 65 credential and eight years of industry experience. He has worked at LaSalle St. Securities, LLC since 2021 and previously at Forum Financial Management, LP. Outside of his advisory role, he is a founder and owner of Elevate CPA Group and a partner at DeMarco Sciaccotta Wilkens & Dunleavy, LLP, both tax and accounting service firms. LaSalle St. Investment Advisors provides 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 programs, combining asset-allocation models with a range of investment vehicles, and manages a substantial portion of assets on a non-discretionary basis.

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