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John J

CFP®, PFS™, Series 63, Series 65

Downers Grove, IL

Ausdal Financial Partners, Inc.

John Janis is a CFP® and PFS™ with over 32 years of industry experience. He has been with Ausdal Financial Partners, Inc. since 2011 and has maintained self-employment in accounting and tax preparation since 1991. In addition to his advisory work, he is also licensed as an insurance agent and provides accounting and tax services. Ausdal Financial Partners, Inc. is an SEC-registered investment adviser and FINRA-member broker-dealer managing approximately $2.13 billion in client assets. The firm serves individuals, trusts, corporations, pension plans, and charitable organizations, offering a range of investment advisory programs, retirement plan services, and financial planning with both discretionary and non-discretionary strategies.

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

Series 63, Series 65

Downers Grove, IL

Ausdal Financial Partners, Inc.

Travis Wolfe is a financial advisor with Ausdal Financial Partners, Inc. in Downers Grove, IL, holding Series 63 and Series 65 licenses and with 15 years of industry experience. He has been with Ausdal Financial Partners since 2016 and also serves as an assistant track and field coach at Tri-Valley Central School. Additionally, he works as an independent contractor selling fixed insurance products. Ausdal Financial Partners serves a diverse client base including individuals, trusts, estates, retirement plans, and business entities, managing approximately $3.73 billion across more than 16,000 clients. The firm provides a range of services including advisor-managed accounts, separately managed accounts, unified managed accounts, retirement-plan advisory, and financial planning, combining tailored investment strategies with access to 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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Jeffery H

CFP®, Series 63

Lisele, IL

Good Life Advisors, LLC

Jeffery Harper is a CFP® professional with 36 years of industry experience currently affiliated with LPL Financial in Lisle, IL. He has worked at Good Life Advisors, LLC since 2021 and previously held roles at Level Four Advisory Services, LLC and Opus Wealth Management Group. Outside of his advisory work, he oversees the raising and selling of cattle on a farm he owns. LPL Financial offers advisory and brokerage services to a diverse client base including individual investors, retirement plan sponsors, institutions, and high-net-worth households. The firm provides a range of financial planning and investment management options supported by an in-house research team and a large network of investment adviser representatives.

Retirement income strategy Business exit / sale strategy Founder/Business Owner Executive
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Robert G

Series 63, Series 65

Oak Brook, IL

VestGen Advisors, LLC

Robert Greulich is a financial advisor at VestGen Advisors, LLC with 44 years of industry experience. He holds Series 63 and Series 65 credentials and has worked at firms including Penn Mutual Life Insurance Co and Hornor Townsend & Kent Inc. He maintains dual registrations with OneDigital and Osaic Wealth, Inc. during a transitional period. VestGen Advisors, LLC is a multi-team registered investment adviser managing approximately $3.47 billion for about 9,453 clients. The firm serves individual and high-net-worth clients with services including discretionary and non-discretionary investment management, financial planning, and retirement plan solutions, utilizing a combination of analytical methods and third-party managers to implement client portfolios.

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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Robert G

Series 63, Series 66

Park Ridge, IL

Arete Wealth Advisors, LLC

Robert Geller is a financial advisor at Arete Wealth Advisors, LLC with 11 years of industry experience. He holds Series 63 and Series 66 licenses and has worked with firms including Securities America Advisors and Primerica. Outside of advisory roles, he also provides life insurance and annuities services through Personal Financial Strategies, Inc. Arete Wealth Advisors offers investment advisory and financial planning services to a diverse client base, including individuals, pensions, trusts, and charitable organizations. The firm employs a combination of advisor-driven and proprietary model-based portfolio management and integrates affiliated financial businesses and product channels into its offerings.

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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Foster M

Series 63, Series 66, Series 65

Elmhurst, IL

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

Foster Manierre is a financial advisor with LaSalle St. Investment Advisors, L.L.C., holding Series 63, Series 65, and Series 66 licenses and bringing seven years of industry experience. His prior roles include positions at Morningstar, RBC Capital Markets, Bank of America, and Merrill. LaSalle St. Investment Advisors provides personalized, fee-based financial planning and investment supervisory services to a diverse client base, including individuals, trusts, pension plans, and charitable organizations. The firm offers both non-discretionary and discretionary management programs, utilizing 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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Marc H

CFP®, Series 65, Series 66

Wheaton, IL

Pure Financial Advisors, LLC

Marc Horner is a CFP® with 25 years of industry experience currently working at Pure Financial Advisors, LLC. He has previously worked at Fairhaven Wealth Management, LLC and Triad Advisors, Inc. Outside of advising, he is president of HighTide Media LLC, which focuses on financial education and produces licensed video content under the trademark "Million Dollar Cup of Coffee." Pure Financial Advisors provides financial planning and portfolio management primarily for individual and high-net-worth clients, as well as services for trusts, estates, charitable organizations, and retirement plans. The firm employs a planning-centered investment approach overseen by an Investment Committee, incorporating modern portfolio theory and tax-aware strategies.

Retirement withdrawal strategies Options & derivatives strategies Tax-loss harvesting ESG / Sustainable investing Founder/Business Owner Retired Executive Mid-Career Professionals Approaching retirement
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Richard G

CFP®, Series 65

Naperville, IL

Calamos Wealth Management LLC

Richard Gotterer is a CFP® professional with 15 years of industry experience, currently serving at Calamos Wealth Management LLC since 2015. He holds a Series 65 license and is based in Naperville, IL. Calamos Wealth Management LLC provides discretionary wealth management and institutional advisory services to high-net-worth individuals, family offices, endowments, private foundations, and retirement plans. The firm employs a structured investment process overseen by an Investment Committee and often utilizes affiliated Calamos Funds and sub-advisers while maintaining governance controls and disclosure practices.

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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Thomas D

Series 63, Series 65

Downers Grove, IL

Ausdal Financial Partners, Inc.

Thomas Durment is a financial advisor with Ausdal Financial Partners, Inc. in Glenview, Illinois, holding Series 63 and Series 65 credentials and bringing 36 years of industry experience. He has been with Ausdal since 2008 and also operates Durment Financial Planning, which provides investment-related and fixed insurance sales services. Durment serves as a board member and secretary of the Optimist Foundation, where he helps organize golf outings and scholarship programs. Ausdal Financial Partners is an SEC-registered investment adviser and FINRA-member broker-dealer managing approximately $2.13 billion in assets. The firm serves individuals, trusts, corporations, pension plans, and charitable organizations through a range of advisory programs, retirement services, and financial planning, offering both discretionary and non-discretionary investment strategies across multiple asset classes.

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

Series 63, Series 65

Downers Grove, IL

Ausdal Financial Partners, Inc.

Christopher Patras is a financial advisor at Ausdal Financial Partners, Inc. with 42 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Ausdal since 2011. In addition to his advisory role, he owns an insurance sales business specializing in life, disability, and long-term care insurance, as well as group medical and dental plans for small businesses. Ausdal Financial Partners manages approximately $2.13 billion in client assets through a network of about 152 advisors. The firm offers investment advisory programs, retirement plan services, and financial planning to individuals, trusts, corporations, pension plans, and charitable organizations, combining brokerage, advisory, and insurance services.

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

CFP®, ChFC®, Series 63, Series 65

Lisle, IL

Good Life Advisors, LLC

Charles Baier is a CFP® and ChFC® with 20 years of experience in the financial services industry. He has worked at Good Life Advisors, LLC since 2021 and previously held roles at Level Four Advisory Services, LPL Financial, and Opus Wealth Management Group. In addition to his advisory work, Baier is a commissioned notary. Good Life Advisors provides investment advisory, financial planning, and retirement plan consulting services to individuals, families, businesses, trusts, estates, and charitable organizations. The firm employs a team approach and multiple analysis methods to tailor advice, offering discretionary and non-discretionary portfolio management alongside educational seminars and access to various third-party programs and custodial platforms.

Retirement income strategy Business exit / sale strategy Founder/Business Owner Executive
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Richard O

Series 63, Series 65

Downers Grove, IL

Ausdal Financial Partners, Inc.

Richard Orr is a financial advisor at Ausdal Financial Partners, Inc. with 37 years of industry experience. He holds Series 63 and Series 65 registrations and has worked previously with BCU Wealth Advisors, CUSO Financial Services, and Baxter Credit Union. Outside of his advisory role, he is involved in insurance sales through MVP Financial Services, Inc. and provides accounting and financial services at KMETZ Financial Group. 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, delivering strategies across various account types with access to multiple custodians and a range of investment products.

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

Series 65, Series 63

Elmhurst, IL

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

Patrick Wagner is a financial advisor at LaSalle St. Investment Advisors, L.L.C. with five years of industry experience. He holds Series 63 and Series 65 licenses. Outside of his advisory role, Wagner owns KT Colors, a custom framing and art supply retail store in Elmhurst, Illinois. LaSalle St. Investment Advisors provides personalized 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 managed programs and employs a mix of mutual funds, ETFs, equities, fixed income, and options in its asset allocation strategies.

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

CFP®, Series 66

Downers Grove, IL

HighPoint Planning Partners

James Keller is a CFP® with 20 years of industry experience, currently serving as an advisor at HighPoint Planning Partners. He has been with HighPoint Planning Partners since 2013 and has worked with LPL Financial since 2008. HighPoint Planning Partners serves a diverse client base including individuals, pension and profit-sharing plans, trusts, estates, and charitable organizations. The firm offers financial planning, discretionary asset management, retirement plan advisory, and uses a varied investment approach that includes fundamental analysis and multiple platform offerings.

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

CFP®, Series 63

Lombard, IL

Capital Analysts

Donald Wade is a CFP® professional with 47 years of industry experience, currently affiliated with Capital Analysts. He has worked at Lincoln Investment since 2017 and previously spent 28 years at Legend Equities Corporation. Outside of his advisory work, he operates a personal corporation for tax and accounting purposes related to his compensation. Capital Analysts serves a diverse client base including individual and high-net-worth investors, retirement plans, trusts, foundations, and corporate clients. The firm provides both discretionary and non-discretionary portfolio management through various programs and emphasizes a fiduciary role with in-house investment management and customized client solutions.

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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John S

Series 63

Schaumburg, IL

WORLD EQUITY GROUP, Inc.

John Stitt Jr. is a financial advisor with WORLD EQUITY GROUP, Inc. in Schaumburg, IL, holding a Series 63 designation and bringing 33 years of industry experience. He has been with World Equity Group since 2002 and has operated John Stitt, Inc. since 1993. In addition to his advisory work, he is a sole proprietor and independent agent selling and servicing group health, dental, life, long-term care, and disability insurance products. World Equity Group provides investment advisory and brokerage services to individual and high-net-worth clients, business entities, non-profits, and financial institutions. The firm offers a range of portfolio management and financial planning services using a combination of model-based and customized investment approaches.

Active portfolio management
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Scott U

Series 66

Elmhurst, IL

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

Scott Uebelhoer is a financial advisor with LaSalle St. Investment Advisors, L.L.C., holding a Series 66 designation and 17 years of industry experience. His prior roles include positions at Securities America Advisors, Securities America, Inc., and Invest Financial Corporation. Outside of his advisory work, he is involved in insurance sales focused on life and disability coverage and holds management responsibilities in a holding company associated with outside business activities. 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 offers both discretionary and non-discretionary asset management across a variety of investment strategies, including mutual funds, ETFs, equities, fixed income, options, and alternative vehicles.

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

Series 63, Series 65

Naperville, IL

Calamos Wealth Management LLC

Christopher Jerin is a financial advisor with Calamos Wealth Management LLC, holding Series 63 and Series 65 licenses and bringing 17 years of industry experience. He has worked at Calamos Wealth Management and its affiliated entities since 2010, with a three-year period at Beacon Pointe Advisors, LLC. Calamos Wealth Management LLC provides discretionary wealth management and institutional advisory services to high-net-worth individuals, family offices, endowments, private foundations, and retirement plans. The firm employs a structured investment process overseen by an Investment Committee and leverages its affiliated ecosystem, including various investment vehicles and trust services.

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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Kyle S

CFP®, Series 63, Series 65

Lombard, IL

Forum Financial Management, Lp

Kyle Schroeder is a CFP® with six years of industry experience, currently serving as a financial advisor at Forum Financial Management, LP since 2020. Prior to joining Forum, he worked at Prospect Partners and Merrill. 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 independent RIAs, utilizing model asset-allocation portfolios managed primarily with DFA institutional 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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Michael L

Series 63, Series 65

Downers Grove, IL

Ausdal Financial Partners, Inc.

Michael Lichtfuss is a financial advisor at Ausdal Financial Partners, Inc. with 16 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Ausdal since 2012. Outside of his advisory role, Lichtfuss assesses candidates for the National Referee program and serves as a scoreboard keeper for Geneva High School basketball. Ausdal Financial Partners is an SEC-registered investment adviser and FINRA-member broker-dealer managing approximately $2.13 billion in client assets. The firm offers investment advisory programs, retirement plan services, and financial planning to individuals, trusts, corporations, pension plans, and charitable organizations, with a range of discretionary and non-discretionary portfolio options.

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