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Dirk S

Series 65

Palos Park, IL

First Advisors National, LLC

Dirk Swiderek is a financial advisor at First Advisors National, LLC with two years of industry experience. He holds a Series 65 designation and has been the owner of Bella International LLC, a jewelry business in Chicago, since 2009, which is currently in the process of liquidation. First Advisors National manages discretionary assets for individual and high-net-worth clients, offering investment management, third-party portfolio recommendations, and retirement plan consulting. The firm emphasizes selecting and monitoring third-party money managers and uses fundamental analysis to supplement individual security recommendations.

Passive / index investing
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Anthony T

CFA®, Series 63

Naperville, IL

Calamos Wealth Management LLC

Anthony Tursich is a CFA® charterholder with seven years of industry experience, currently serving as a financial advisor at Calamos Wealth Management LLC. His prior experience includes roles at Calamos Advisors LLC, Pearl Impact Capital, and Trillium Asset Management. He also serves as an uncompensated Investment Advisory Board Member for Multnomah County, where he meets quarterly to review portfolio performance and compliance. Calamos Wealth Management provides discretionary wealth management, financial planning, and institutional advisory services to high-net-worth individuals, family offices, endowments, private foundations, corporations, and retirement plans. The firm employs a diversified investment process combining individual securities, mutual funds, ETFs, and private funds, frequently utilizing affiliated sub-advisers and specialized strategies.

Tax-loss harvesting Options & derivatives strategies Private / alternative investments Concentrated stock management Retired Founder/Business Owner Values-based investing SRI/ESG (Socially Responsible Investing/Environmental, Social and Corporate Governance)
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Kenneth M

Series 63, Series 66

Downers Grove, IL

Ausdal Financial Partners, Inc.

Kenneth Mitchell is a financial advisor at Ausdal Financial Partners, Inc. with 14 years of industry experience. He holds Series 63 and Series 66 designations and has worked at firms including Northwestern Mutual Investment Services, Valic Financial Advisors, and LPL Financial. Mitchell also maintains an outside insurance broker role focused on health insurance commissions. Ausdal Financial Partners serves individuals, trusts, estates, retirement plans, and business entities, overseeing approximately $3.73 billion for over 16,000 clients. The firm offers a broad range of advisory and financial planning services, with investment strategies tailored to each client and integrated third-party management options.

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

CFP®, Series 66

Downers Grove, IL

HighPoint Planning Partners

Kevin Brainerd is a CFP® with 18 years of industry experience, currently serving as a financial advisor at HighPoint Planning Partners. He has been with HighPoint Advisor Group and LPL Financial since 2016. HighPoint Advisor Group serves a range of clients, including high-net-worth individuals, pension and profit-sharing plans, trusts, and charitable organizations. The firm offers discretionary asset management and comprehensive financial planning services, utilizing fundamental analysis and a variety of investment vehicles, as well as 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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Roger E

Series 63, Series 66

Downers Grove, IL

HighPoint Planning Partners

Roger Ensminger is a financial advisor at HighPoint Planning Partners with 43 years of industry experience. He holds Series 63 and Series 66 licenses and has worked with LPL Financial since 2009 and Highpoint Advisor Group LLC since 2016. His activities include occasionally selling life, health, disability, and long-term care insurance. HighPoint Advisor Group provides discretionary asset management, financial planning, and consulting services to a diverse client base, including individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporations. The firm manages approximately $4 billion in client assets and employs a fundamental analysis approach to construct individualized investment policies across various securities and managed programs.

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

CFP®

Downers Grove, IL

JMG Financial Group LTD

Ellis Greenstein is a CFP® professional with four years of experience at JMG Financial Group LTD in Downers Grove, IL. Prior to joining JMG, he was affiliated with the University of Wisconsin and Riviera Preparatory High School. JMG Financial Group, Ltd. serves individuals, trusts, pension and profit-sharing plans, charitable organizations, and business entities, providing discretionary investment management, financial advisory, retirement plan consulting, and tax preparation services. The firm manages approximately $6.36 billion in assets through a team of 64 advisors and employs a strategic asset allocation approach overseen by an investment committee.

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

CFP®

Downers Grove, IL

HighPoint Planning Partners

Johnathan Kulikowski is a CFP® with 12 years of experience in financial advisory. He currently works at HighPoint Planning Partners and previously spent 11 years at VANTAGE FINANCIAL PARTNERS Limited. HighPoint Advisor Group provides discretionary asset management, financial planning, and consulting services to a diverse client base, including individuals, pension plans, trusts, charitable organizations, and corporations. The firm manages approximately $4.0 billion in client assets and employs individualized investment policies with continuous account monitoring and a range of custodied program solutions.

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

Series 66

Downers Grove, IL

HighPoint Planning Partners

Jayson Gorski is a financial advisor at HighPoint Planning Partners with five years of industry experience. He holds the Series 66 designation and has worked previously at LPL Financial and CBRE. Gorski also provides administrative support to HighPoint Advisor Group, LLC. HighPoint Advisor Group serves individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporate entities. The firm offers discretionary asset management and financial planning, constructing client investment policies through personal consultations and implementing portfolios with a focus on fundamental analysis across various asset classes.

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

CFP®

Downers Grove, IL

JMG Financial Group LTD

Jack Reynolds is a CFP® professional with four years of industry experience, currently serving at JMG Financial Group LTD since 2022. Prior to joining JMG, he worked at the University of Arizona and West Chicago Community High School. JMG Financial Group, Ltd. serves individuals, trusts, pension and profit-sharing plans, charitable organizations, and business entities, providing discretionary investment management, financial advisory and consulting, retirement plan consulting, and tax preparation services. The firm employs a strategic asset allocation approach overseen by an investment committee and manages approximately $6.36 billion in assets with a team of 64 advisors.

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

Series 63, Series 65

Elmhurst, IL

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

Carol Mcginnis is a financial advisor at LaSalle St. Investment Advisors, L.L.C. with 28 years of industry experience. She has been affiliated with LaSalle St. Securities, L.L.C. for 20 years. Outside of her advisory role, she contributes to the finance team at the Village Church of Oak Park by entering tithes into their system. LaSalle St. Investment Advisors provides personalized, 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, with a notable predominance of non-discretionary assets under management.

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

CFP®, Series 63

Downers Grove, IL

Ausdal Financial Partners, Inc.

Larry Johnson is a CFP® with 43 years of industry experience, currently serving at Ausdal Financial Partners, Inc. since 2015. He previously worked at Sterling Financial Advisory Services, Inc. from 2012 to 2020. Outside of financial advising, Johnson owns several fitness clubs under the Anytime Fitness brand and is involved in a handcrafted vodka business. 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 and brokerage services to individuals, trusts, corporations, pension plans, and charitable organizations, with investment strategies delivered through discretionary and non-discretionary accounts across various asset classes.

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

ChFC®, Series 63, Series 65

Orland Park, IL

Tucker Asset Management LLC

Patrick Kaiser is a financial advisor at Tucker Asset Management LLC with 23 years of industry experience. He holds the ChFC® designation and Series 63 and 65 licenses. Prior to joining Tucker Asset Management, he worked at IAMS Wealth Management and Royal Fund Management, LLC. In addition to advisory work, he is an independent insurance agent offering annuities, life and health insurance products, as well as physical gold and silver. Tucker Asset Management serves individual and high-net-worth clients, foundations, trusts, estates, and charitable organizations. The firm employs a top-down macroeconomic asset-allocation process and offers discretionary investment management, financial planning, and retirement plan advisory through a network of independent investment adviser representatives.

Private / alternative investments Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Jessica F

PFS™

Oak Brook, IL

Avantax Planning Partners, Inc.

Jessica Freiburg is a financial advisor at Avantax Planning Partners, Inc. with the PFS™ designation and two years of industry experience. She is also the managing partner of Sassetti LLC, a firm providing tax planning, audit, accounting, and advisory services. Freiburg serves as the treasurer for the Parks Foundation of Oak Park, where she manages budgeting and fundraising efforts, and volunteers as a mentor with the Illinois Wesleyan University Council for Women. 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 a model-based style allocation strategy overseen by an Investment Advisory Committee and offers tax-intelligent overlays and discretionary management with 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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Patrick K

Series 66

Elmhurst, IL

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

Patrick Kearney is a financial advisor at LaSalle St. Investment Advisors, L.L.C. with six years of industry experience. He holds a Series 66 designation and has professional experience including seven years at the University of Chicago. 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 management, utilizing asset-allocation models and a mix of mutual funds, ETFs, equities, fixed income, and options.

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

ChFC®, Series 63, Series 65

Geneva, IL

Harbour Investments, Inc.

Mark Waldoch is a financial advisor at Harbour Investments, Inc. in Geneva, IL, holding the ChFC® designation along with Series 63 and Series 65 licenses. He has 39 years of industry experience, including 17 years with Harbour Investments and operating Waldoch Financial Services since 2002. Outside of advisory work, he owns a CPA tax preparation business and is involved in group health insurance sales through MWBC, Inc. Harbour Investments provides investment advisory and financial planning services to a diverse client base, including individual investors, charitable and corporate clients, and retirement plans. The firm employs a combination of fundamental and technical analysis to create customized strategies using various investment vehicles and offers model-based solutions through a subscription platform.

Annuities Options & derivatives strategies
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David W

CFP®, Series 63

St. Charles, IL

VestGen Advisors, LLC

David Walker is a CFP® with 37 years of industry experience, currently serving as a financial advisor at VestGen Advisors, LLC. His prior roles include positions at LPL Financial, LLC and Securities America Advisors, Inc., along with operating his own firm, Walker Financial Services Inc., since 2002. Outside of advising, he is president of his office condo association and leads Swisher & Walker Financial Services, Inc., which provides income tax preparation and accounting services. VestGen Advisors, LLC manages approximately $6.66 billion for over 22,000 clients through a team of 53 advisors. The firm offers discretionary and non-discretionary investment management, financial planning, and ERISA 3(21) retirement plan services, employing client-specific strategies that integrate fundamental, technical, and quantitative analysis along with modern portfolio theory.

Wealth management Retirement plans for business owners (SEP, solo 401k) Tax-loss harvesting Equity compensation tax strategy Founder/Business Owner Executive
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Jerome K

Series 63, Series 66

Downers Grove, IL

HighPoint Planning Partners

Jerome Kahn is a financial advisor at HighPoint Planning Partners with 29 years of industry experience. He holds Series 63 and Series 66 licenses and previously worked at LPL Financial and operated his own firm, J Kahn & Associates LLC. HighPoint Advisor Group provides discretionary asset management, financial planning, and consulting services to a diverse client base, including individuals, pension plans, trusts, and corporations. The firm manages approximately $4 billion in assets and employs a fundamental analysis approach to construct individualized investment policies across a range of securities and third-party solutions.

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

Series 63, Series 65

Oakbrook Terrace, IL

Nfsg Corporation

Xavier Patino is a financial advisor at NFSG Corporation with 17 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Newbridge Securities Corp, J.P. Morgan Securities, and JP Morgan Chase Bank NA. Outside of his advisory role, Patino manages a transportation logistics company providing freight solutions. NFSG Corporation is an SEC-registered investment adviser serving individuals, pension plans, trusts, estates, charitable organizations, and businesses. The firm offers discretionary and non-discretionary asset management, third-party manager selection, and financial planning, tailoring portfolios to client objectives using a combination of fundamental, technical, and cyclical analysis.

Wealth management
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Timothy L

Series 66

Naperville, IL

VestGen Advisors, LLC

Timothy Ludwig is a financial advisor at VestGen Advisors, LLC with seven years of industry experience. He holds a Series 66 designation and has worked previously at Edward Jones and Raymond James Financial Services. Outside of his advisory role, he is associated with Mohns & Haller Inc., a company handling payroll and benefits for employees. VestGen Advisors, LLC is a multi-team registered investment adviser managing approximately $3.47 billion for around 9,453 clients. The firm serves individual and high-net-worth clients, offering investment management, financial planning, wrap-fee programs, and retirement plan services using a combination of analytical methods and third-party managers.

Wealth management Retirement plans for business owners (SEP, solo 401k) Tax-loss harvesting Equity compensation tax strategy Founder/Business Owner Executive
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David C

Series 66

Downers Grove, IL

HighPoint Planning Partners

David Cimmarusti is a financial advisor with HighPoint Planning Partners, holding a Series 66 designation and five years of industry experience. He has previously worked at Leaders Partners, Inc. and LPL Financial, LLC. HighPoint Advisor Group provides discretionary asset management, financial planning, and consulting services to a diverse client base, including individuals, pension plans, trusts, and corporations. The firm manages approximately $4.0 billion in client assets and uses a fundamental analysis approach to construct individualized investment policies across various asset classes and platforms.

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