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Michael E

Series 66

East Peoria, IL

Midwestern Securities Trading Company, LLC

Michael Ennen is a Series 66 credentialed financial advisor with five years of experience at Midwestern Securities Trading Company, LLC. He also serves as CEO of The Bradford National Bank of Greenville, a position he has held since 2004, and is treasurer of the Bond County Public Building Commission. Midwestern Securities Trading Company serves a diverse client base including individual investors, retirement plan sponsors, municipalities, and community financial institutions, offering financial planning, portfolio management, and fiduciary services. The firm combines discretionary model portfolios managed internally with non-discretionary advisory recommendations and third-party management platforms.

Wealth management Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Charitable giving & philanthropy Passive / index investing
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Jeffrey S

Series 66

East Peoria, IL

Midwestern Securities Trading Company, LLC

Jeffrey Schumacher is a financial advisor at Midwestern Securities Trading Company, LLC with 19 years of industry experience. He holds the Series 66 designation and has worked at both Midwestern Securities Trading Company and Goodfield State Bank since 2007. Outside of his advisory work, he serves on finance and board committees for local retirement communities and a church in the East Peoria area. Midwestern Securities Trading Company serves individual investors, retirement plan sponsors, municipalities, school districts, charitable organizations, and community financial institutions. The firm combines discretionary model portfolios, non-discretionary advisory recommendations, and third-party manager platforms in its investment approach, while maintaining dual broker-dealer and investment adviser registrations.

Wealth management Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Charitable giving & philanthropy Passive / index investing
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Jeffrey W

Series 63, Series 66

Peoria, IL

Mutual of Omaha Investor Services, Inc.

Jeffrey Walker is a financial advisor with Mutual of Omaha Investor Services, Inc. He holds Series 63 and Series 66 licenses and has 15 years of industry experience. Prior to joining Mutual of Omaha in 2019, he worked at NYLIFE Securities LLC and New York Life Insurance Company. He is also licensed as an insurance agent specializing in life, health, and annuity products. Mutual of Omaha Investor Services, Inc. provides advisory and retirement-plan services to a diverse client base, including individuals, retirement plans, corporations, and charitable organizations. The firm offers financial planning, third-party money manager programs, and managed account solutions through a network of Investment Advisor Representatives who utilize approved model portfolios and discretionary management platforms.

College savings (529s, UTMA, etc.) Business ownership considerations Retirement plans for business owners (SEP, solo 401k) Wealth management Founder/Business Owner
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Michael F

CFP®, ChFC®, Series 63

Peoria, IL

David Vaughan Investments, LLC

Michael Flaherty is a CFP®, ChFC®, and Series 63-licensed financial advisor with 17 years of industry experience. He has worked at David Vaughan Investments, LLC since 2018 and previously held roles at ValMark Advisers, Inc., Valmark Securities, Inc., and Investment Professionals, Inc. David Vaughan Investments, LLC provides discretionary investment management and wealth services to individual and institutional clients, utilizing a value-oriented equity strategy combined with a conservative fixed-income approach and customized asset allocation. The firm serves high-net-worth individuals, trusts, foundations, retirement plans, and other entities.

Concentrated stock management Retirement plans for business owners (SEP, solo 401k) Debt management College savings (529s, UTMA, etc.) Founder/Business Owner Executive
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Stuart B

Series 63, Series 65

Peoria, IL

Creative Financial Designs, Inc.

Stuart Breeden is a financial advisor with Creative Financial Designs, Inc. in Peoria, IL, holding Series 63 and Series 65 licenses with 31 years of industry experience. He is president of Breeden & Associates, Ltd., where he also works as an accountant/CPA, and he is involved in independent insurance sales. Creative Financial Designs serves individual, charitable, corporate, and retirement plan clients with a range of investment management and financial planning services. The firm employs asset-class model allocations supported by third-party research and offers strategies from passive to tactically managed portfolios, including a suite of Biblical Responsible Investing options.

ESG / Sustainable investing Options & derivatives strategies Religious/faith focused
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Monica V

Series 65

East Peoria, IL

Midwestern Securities Trading Company, LLC

Monica Vinson is a Series 65-licensed advisor with Midwestern Securities Trading Company, LLC, based in East Peoria, IL. She has worked at Midwestern Securities since 2022 and has previous experience at Regions Bank, JP Morgan Chase, and other firms dating back to 2016. Midwestern Securities Trading Company serves a diverse client base including individual investors, retirement plan sponsors, municipalities, charitable organizations, and community financial institutions. The firm offers financial planning, portfolio management, and ERISA 3(38) fiduciary services, combining discretionary model portfolios with non-discretionary advice and third-party management through platforms such as Envestnet.

Wealth management Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Charitable giving & philanthropy Passive / index investing
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Joshua J

Series 66

East Peoria, IL

Midwestern Securities Trading Company, LLC

Joshua Janssen is a financial advisor at Midwestern Securities Trading Company, LLC with a Series 66 designation and two years of industry experience. His prior work history includes roles at Goodfield State Bank, Equitable Advisors, and Western Illinois University. In addition to his advisory role, he is also a financial advisor at Goodfield State Bank. Midwestern Securities Trading Company serves a diverse client base including individual investors, retirement plan sponsors, municipalities, school districts, charitable organizations, and community financial institutions. The firm combines discretionary model portfolios with non-discretionary recommendations and third-party discretionary management, and maintains dual broker-dealer and investment adviser registrations alongside brokerage and insurance activities.

Wealth management Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Charitable giving & philanthropy Passive / index investing
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Andrew L

CFA®

Peoria, IL

David Vaughan Investments, LLC

Andrew Lister is a CFA® charterholder with 19 years of industry experience. He has been with David Vaughan Investments, LLC since 2005. David Vaughan Investments, LLC provides discretionary investment management and wealth services to individual and institutional clients, including high-net-worth individuals and foundations. The firm employs a value-oriented, income-producing equity strategy combined with a conservative buy-and-hold fixed-income approach and customized asset allocation to meet client cash-flow needs.

Concentrated stock management Retirement plans for business owners (SEP, solo 401k) Debt management College savings (529s, UTMA, etc.) Founder/Business Owner Executive
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Anne S

CFP®, ChFC®, Series 66

East Peoria, IL

Midwestern Securities Trading Company, LLC

Anne Schutt is a financial advisor at Midwestern Securities Trading Company, LLC with seven years of industry experience. She holds the CFP® and ChFC® designations, along with a Series 66 license. Prior to joining Midwestern Securities, she worked at Northwestern Mutual Wealth Management Company and Genentech. Outside of her advisory role, Schutt serves as the 2nd Vice President of Membership for the Peoria Women's Club and contributes as a writer for Construction Beauty Magazine. Midwestern Securities Trading Company serves a diverse client base including individual investors, retirement plan sponsors, municipalities, charitable organizations, and community financial institutions. The firm combines discretionary model portfolios, non-discretionary recommendations from advisors, and third-party manager oversight in its investment process.

Wealth management Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Charitable giving & philanthropy Passive / index investing
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Harry J

Series 63, Series 65

Peoria, IL

Packerland Brokerage Services, Inc.

Harry Johnson is a financial advisor with Packerland Brokerage Services, Inc. He holds Series 63 and Series 65 licenses and has 42 years of industry experience. His prior roles include positions at CreativeOne Securities, Brokers International Financial Services, Investment Planners Inc., Calton & Associates, Inc., and ProEquities, Inc. Johnson is also the owner of Johnson Financial, a diversified financial services business offering fixed insurance, life insurance, long-term care, and fixed annuities. Packerland Brokerage Services, Inc. serves individuals, charities, corporations, and retirement plan sponsors with financial planning, portfolio management, and advisory program access through multiple platforms, including firm-managed portfolios and third-party arrangements. The firm is dually registered as an SEC investment adviser and FINRA broker-dealer, managing over $900 million in client assets and offering both brokerage and advisory service options.

Retirement income strategy Options & derivatives strategies Wealth management
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Josiah S

Series 66

East Peoria, IL

Midwestern Securities Trading Company, LLC

Josiah Springer is a financial advisor at Midwestern Securities Trading Company, LLC with six years of industry experience. He holds a Series 66 designation and has worked previously at Edward Jones and Illini State Bank. His background includes roles in public and community organizations. Midwestern Securities Trading Company serves a diverse client base including individual investors, retirement plan sponsors, municipalities, and charitable organizations. The firm combines discretionary model portfolios with non-discretionary advisory recommendations and third-party management, maintaining dual broker-dealer and investment adviser registration while offering brokerage and insurance services alongside advisory solutions.

Wealth management Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Charitable giving & philanthropy Passive / index investing
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Karen S

Series 66

Peoria Heights, IL

Thrivent Advisor Network, LLC

Karen Strickler is a financial advisor with Thrivent Advisor Network, LLC, holding a Series 66 designation and 17 years of industry experience. Her prior roles include positions at Thrivent Investment Management Inc and Purshe Kaplan Sterling Investments, Inc. She is also involved in selling and servicing fixed insurance contracts. Thrivent Advisor Network serves a broad client base including individuals, families, trusts, and businesses, offering personalized portfolio management and financial planning with an emphasis on diversified strategies using mutual funds, ETFs, and other investment vehicles.

Annuities College savings (529s, UTMA, etc.) Private / alternative investments
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Alyssa M

Series 66

East Peoria, IL

Geneos Wealth Management, Inc.

Alyssa Marks is a financial advisor with Geneos Wealth Management, Inc., holding a Series 66 designation and 14 years of industry experience. She has worked at Geneos Wealth Management since 2006 and has been associated with Trifecta Financial LLC since 2020. Marks is also a notary public and an independent representative with various insurance carriers for fixed products. Geneos Wealth Management serves a diverse client base including individuals, trusts, estates, pension plans, corporations, and charitable organizations, offering financial planning, investment advisory, and brokerage services. The firm employs a range of analytic investment approaches and strategies, combining continuous account monitoring with discretionary trading authority for most client accounts.

ESG / Sustainable investing Options & derivatives strategies
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Diane B

Series 63, Series 66

Peroria, IL

Prospera Financial Services, inc.

Diane Buchanan is a financial advisor at Prospera Financial Services, Inc. with 43 years of industry experience. She holds Series 63 and Series 66 designations and has previously worked at LPL Financial and Chapin, Davis. Prospera Financial Services, Inc. is a multi-team firm serving individuals, high-net-worth clients, corporate and charitable entities, and retirement plans. The firm manages approximately $12.4 billion through about 207 advisors and offers investment advisory and financial planning services using a variety of platforms and portfolio management approaches.

Wealth management Active portfolio management Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Retired
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Ryan K

Series 66

Washington, IL

Gateway Wealth Partners, LLC

Ryan Knapp is a financial advisor with Gateway Wealth Partners, LLC, holding a Series 66 designation and seven years of industry experience. He previously worked at Advisors' Pride, Inc. and LPL Financial, llc. Knapp provides administrative services through Advisors' Pride, Inc., an independent investment advisor firm. Gateway Wealth Partners is a registered investment adviser serving individuals, corporations, and retirement plans. The firm offers financial planning, consulting, wealth management, and retirement plan consulting, typically allocating client assets among low-cost, diversified mutual funds and ETFs, supplemented by individual stocks, bonds, and independent managers.

Retirement plans for business owners (SEP, solo 401k)
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Eric G

Series 63, Series 65

East Peoria, IL

Midwestern Securities Trading Company, LLC

Eric Grant is a financial advisor with Midwestern Securities Trading Company, LLC, holding Series 63 and Series 65 credentials and bringing 13 years of industry experience. He previously worked at COUNTRY FINANCIAL before joining Midwest Bank and Midwestern Securities Trading Co. LLC in 2017. Outside of his advisory role, Mr. Grant serves as a scoreboard operator for Monmouth College football games and coaches basketball at Immaculate Conception School. Midwestern Securities Trading Company serves a diverse client base including individual investors, retirement plan sponsors, municipalities, and charitable organizations. The firm offers financial planning, portfolio management, and fiduciary services, combining discretionary model portfolios with advisor recommendations and third-party manager oversight.

Wealth management Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Charitable giving & philanthropy Passive / index investing
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James K

Series 63, Series 65, Series 66

Peoria, IL

Silver Oak Securities, Incorporated

James Kreid is a financial advisor with Silver Oak Securities, Incorporated, holding Series 63, 65, and 66 licenses and bringing 32 years of industry experience. He previously worked at Geneos Wealth Management Inc. for 17 years before joining Silver Oak Securities and Cmfs Group Inc. since 2020. Kreid also serves as a board member for the nonprofit ministry Youth For Christ. Silver Oak Securities provides advisory services to individuals, families, corporations, retirement plans, and charitable organizations, managing approximately $2.03 billion in discretionary assets. The firm offers individualized portfolio management, unified managed account programs, and financial planning, delivering investment advice primarily on a discretionary basis tailored to clients’ objectives and risk tolerances.

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

CFA®, ChFC®, Series 66

Peoria, IL

David Vaughan Investments, LLC

Cody Behrens is a CFA® and ChFC® charterholder with seven years of industry experience. He is currently with David Vaughan Investments, LLC and has previously held roles at COUNTRY Capital Management Company, COUNTRY insurance affiliates, COUNTRY Trust Bank, PNC Investments, John Graham & Associates, North Adams State Bank, and Midwestern Securities Trading Company, LLC. David Vaughan Investments provides discretionary investment management and wealth planning services to individuals, high-net-worth clients, trusts, estates, foundations, retirement plans, corporations, and other entities. The firm employs a value-oriented, income-producing equity strategy combined with a conservative fixed-income approach, integrating proprietary quantitative rankings and qualitative research in portfolio construction.

Concentrated stock management Retirement plans for business owners (SEP, solo 401k) Debt management College savings (529s, UTMA, etc.) Founder/Business Owner Executive
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Devin S

Series 65

Peoria, IL

David Vaughan Investments, LLC

Devin Shaffer is a financial advisor at David Vaughan Investments, LLC with one year of industry experience. He holds a Series 65 designation and has prior work history that includes roles at TD Securities and ARTIS Energy Solutions LLC. Outside of finance, he was involved with Frozen Gnome Properties LLC, operating the Greenhouse Cafe and Tavern. David Vaughan Investments, LLC provides discretionary investment management and ancillary wealth services to individual and institutional clients. The firm employs a value-oriented, income-producing equity strategy combined with a conservative fixed-income approach and customized asset allocation to meet client cash-flow needs.

Concentrated stock management Retirement plans for business owners (SEP, solo 401k) Debt management College savings (529s, UTMA, etc.) Founder/Business Owner Executive
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Zachery M

CFP®, Series 66

Peoria, IL

David Vaughan Investments, LLC

Zachery Morgenstern is a CFP® and holds a Series 66 license with six years of industry experience. He has worked at David Vaughan Investments, LLC since 2021 and previously was with Edward Jones from 2019 to 2021. His background also includes roles outside of finance, such as positions with the Germantown School District and several minor league baseball teams. David Vaughan Investments, LLC provides discretionary investment management and wealth services to individual and institutional clients. The firm employs a value-oriented, income-producing equity strategy combined with a conservative fixed-income approach and offers customized asset allocation to meet client cash-flow needs.

Concentrated stock management Retirement plans for business owners (SEP, solo 401k) Debt management College savings (529s, UTMA, etc.) Founder/Business Owner Executive
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