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Christopher Y

Series 65, Series 63

New York, NY

Cantor Fitzgerald Investment Advisors

Christopher Yost is a financial advisor at Cantor Fitzgerald Investment Advisors with 26 years of industry experience. He holds Series 65 and Series 63 licenses and has worked at Cantor Fitzgerald & Co. since 2016. Based in New York, NY, he operates within a multi-team firm environment. Cantor Fitzgerald Investment Advisors, L.P. provides discretionary investment management and advisory services to a diverse client base, including individual and high-net-worth investors, institutional clients, and financial intermediaries. The firm employs proprietary ETF model portfolios based on strategic asset allocation and macroeconomic research, managing various registered investment companies and private pooled funds.

ESG / Sustainable investing Private / alternative investments Real estate investing Active portfolio management Wealth management
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Gerald S

Series 63

New York, NY

Aegis Capital Corp.

Gerald Seigel is a financial advisor with Aegis Capital Corp. in Sarasota, FL, holding a Series 63 designation and bringing 56 years of industry experience. He has been with Aegis Capital Corp. since 2015. Aegis Capital Corp. serves individual investors, retirement and benefit plans, trusts, estates, and corporate clients by offering investment advisory and brokerage services, financial planning, and access to managed account programs through RBC and AXOS platforms. The firm provides both discretionary and non-discretionary account options and handles trade execution, clearing, custody, and reporting services.

Concentrated stock management
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Seymour W

CFP®, Series 63

Pearl River, NY

Lifemark Securities Corp.

Seymour Williams is a CFP®-credentialed financial advisor with 37 years of industry experience. He is currently with Lifemark Securities Corp. and has previously worked at SunStreet Securities, LLC. In addition to his advisory work, he is engaged in tax preparation, independent insurance sales, mortgage brokerage, and real estate brokerage. Lifemark Securities Corp. provides fee-based investment advisory services and financial planning primarily to individual investors and sponsors of participant-directed retirement plans. The firm’s advice is suitability-driven and tailored through risk assessments, with accounts managed on both a discretionary and non-discretionary basis.

Annuities Retirement plans for business owners (SEP, solo 401k) Wealth management
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Andrew A

Series 63, Series 65

Fair Lawn, NJ

NPA Asset Management, LLC

Andrew Arons is a financial advisor with NPA Asset Management, LLC, holding Series 63 and Series 65 credentials and 33 years of industry experience. He has worked at NPA Asset Management and Nationwide Planning Associates since 2010 and previously spent six years with Investment Advisors Asset Management, LLC. Outside of his advisory role, he serves as an independent insurance agent through various agencies. NPA Asset Management, LLC is an SEC-registered adviser serving individuals, including high-net-worth clients, corporations, pension, and charitable accounts. The firm manages approximately $1.065 billion in assets across about 2,293 client relationships and offers multiple managed-account programs, third-party asset manager referrals, and access to mutual funds, ETFs, individual securities, and insurance products.

Wealth management Active portfolio management Tax-loss harvesting College savings (529s, UTMA, etc.)
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Alexandra P

Series 63, Series 65

New York, NY

Insigneo Advisory Services, LLC

Alexandra Panora is a financial advisor at Insigneo Advisory Services, LLC with 22 years of industry experience. She holds Series 63 and Series 65 licenses and has worked at Wells Fargo Clearing and J.P. Morgan Securities prior to joining Insigneo in 2021. Alexandra has full ownership of AEGA21 LLC, a non-securities pass-through entity. Insigneo Advisory Services, LLC provides investment advisory and portfolio management services to individual, corporate, trust, and institutional clients, including banking and thrift institutions. The firm offers customized allocations alongside firm-modeled portfolios, utilizing a range of investment strategies and third-party research to manage portfolios that may include equities, fixed income, commodities, REITs, alternative investments, and private placements.

Private / alternative investments Concentrated stock management Options & derivatives strategies Real estate investing
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Dylan H

Series 66

New York, NY

Jefferies Investment Advisers LLC

Dylan Hallard is a financial advisor with Jefferies Investment Advisers LLC in New York, NY, holding a Series 66 designation and five years of industry experience. His prior experience includes roles at Webull Financial and UBS Financial Services. Jefferies Investment Advisers LLC provides fee-based financial planning services to individuals, trusts, estates, foundations, charitable organizations, and corporations. The firm offers a customized planning process utilizing third-party software and probability-based analyses, focusing on a broad range of financial planning topics while maintaining a separation between fiduciary planning and implementation services.

General retirement planning Income planning Equity compensation tax strategy Concentrated stock management Charitable giving & philanthropy
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Maria G

Series 63, Series 65

New York, NY

Jefferies Investment Advisers LLC

Maria Govea is a financial advisor at Jefferies Investment Advisers LLC with 27 years of industry experience. She holds Series 63 and Series 65 licenses and previously worked at Morgan Stanley and Morgan Stanley Private Bank from 2016 to 2023. Outside of her advisory role, she is involved in a family-owned Italian kitchen cabinet import business as a partner. Jefferies Investment Advisers LLC provides fee-based financial planning services to individuals, trusts, estates, foundations, charitable organizations, corporations, and other entities. The firm offers a customized, collaborative planning process covering topics such as tax and estate planning and uses third-party software and simulations to illustrate financial outcomes.

General retirement planning Income planning Equity compensation tax strategy Concentrated stock management Charitable giving & philanthropy
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Jeffery J

Series 63, Series 65

Glen Head, NY

Tsa Management Inc

Jeffery Jones is a financial advisor at TSA Management Inc with 19 years of industry experience. He holds Series 63 and Series 65 credentials and has worked at Halliday Financial, LLC since 2017, following prior roles at Mass Mutual Investors Services and Massachusetts Mutual Life Insurance Company. TSA Portfolio Management Inc. provides investment supervisory and portfolio management services to a diverse client base, including individuals, high-net-worth clients, retirement plans, and institutions. The firm manages approximately $1.479 billion across around 2,566 clients, using model allocations and emphasizing asset allocation, tax-aware security selection, and quarterly rebalancing.

Active portfolio management Tax-loss harvesting Options & derivatives strategies Retirement income strategy
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Robert W

Series 66

Greenwich, CT

NorthCoast Asset Management LLC

Robert Wright is a financial advisor at NorthCoast Asset Management LLC with 20 years of industry experience. He holds the Series 66 designation and has worked at firms including Kovitz Investment Group Partners, Connectus Wealth, and Ameriprise. Wright was previously at NorthCoast Asset Management from 2008 to 2021 before joining Kovitz and returning with the firm's reorganization. NorthCoast Asset Management provides discretionary portfolio management and financial planning for individuals, institutions, and intermediaries. The firm employs a quantitatively based, systematic investment process using proprietary models and offers a broad range of strategies, including equity, fixed income, options-defined outcome overlays, and alternative interval funds.

Active portfolio management Options & derivatives strategies Concentrated stock management Private / alternative investments ESG / Sustainable investing Founder/Business Owner Executive Values-based investing
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Ava S

Series 66

New York, NY

Jefferies Investment Advisers LLC

Ava Steiner is a financial advisor at Jefferies Investment Advisers LLC with two years of industry experience. She holds a Series 66 designation and has prior work experience at Jefferies LLC as well as involvement with The College of New Jersey Football Program. Jefferies Investment Advisers LLC provides fee-based financial planning services to individuals, trusts, estates, foundations, charitable organizations, corporations, and other business entities, using a customized, collaborative planning process supported by third-party financial planning software and analytical tools.

General retirement planning Income planning Equity compensation tax strategy Concentrated stock management Charitable giving & philanthropy
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Lynn S

Series 63, Series 65

New York, NY

Wedbush Securities Inc.

Lynn Sperandeo is a financial advisor at Wedbush Securities Inc. based in New York, NY, with 49 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at firms including B. Riley Wealth Advisors, Dominick & Dickerman LLC, and Credit Suisse Securities. Outside of his financial career, he serves as a notary public and is a member of the Council of Greenburgh Civic Associations. Wedbush Securities offers investment advisory and broker-dealer services to individual, high-net-worth, and institutional clients, providing a range of wealth management, fixed income, commodities, and securities lending services. The firm combines portfolio management tailored to client objectives with operational capabilities including custodial, clearing, and prime services.

Wealth management Founder/Business Owner Executive
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Brendan H

Series 65

Tarrytown, NY

Brownson, Rehmus & Foxworth, Inc.

Brendan Haynes is a financial advisor at Brownson, Rehmus & Foxworth, Inc. with one year of industry experience. He holds a Series 65 designation and previously worked in education at High Point University and Don Bosco Preparatory High School. Brownson, Rehmus & Foxworth, Inc. provides personalized, fee-only financial counseling and non-discretionary investment advisory services to individuals, families, trusts, estates, private foundations, and corporate executives. The firm emphasizes customized long-term asset allocation and diversification strategies with client-directed trade execution.

Concentrated stock management Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Wealth management Executive Founder/Business Owner
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James C

Series 66

Fair Lawn, NJ

NPA Asset Management, LLC

James Colleary is a financial advisor with NPA Asset Management, LLC, holding a Series 66 designation and 15 years of industry experience. He has been associated with Nationwide Planning Associates, Inc. since 2010. NPA Asset Management, LLC is an SEC-registered investment adviser that offers managed-account programs including Advisor Managed accounts, MA Direct third-party sub-advisor programs, and MA Custom AdvisorFlex model portfolios. The firm serves individual and high-net-worth investors, corporations, pension and profit-sharing plans, and charitable organizations, combining advisor-led planning with model portfolio implementation.

Wealth management Active portfolio management Tax-loss harvesting College savings (529s, UTMA, etc.)
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Jarita L

Series 66

New York, NY

Jefferies Investment Advisers LLC

Jarita Liang is a financial advisor at Jefferies Investment Advisers LLC with seven years of industry experience. She holds the Series 66 designation and has worked at firms including J.P. Morgan Securities, Moelis & Company LLC, and Goldman Sachs. Jefferies Investment Advisers LLC provides fee-based financial planning services to individuals, trusts, estates, foundations, charitable organizations, corporations, and other business entities through a customized, collaborative planning process that incorporates third-party software and scenario analysis to support goal definition and financial review.

General retirement planning Income planning Equity compensation tax strategy Concentrated stock management Charitable giving & philanthropy
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Wayne P

CFA®, Series 66

Greenwich, CT

Gamco Asset Management Inc.

Wayne Pinsent is a CFA® charterholder with a Series 66 license and 17 years of industry experience. He has been with Gamco Asset Management Inc. and Gabelli & Company, Inc. since 2008. GAMCO Asset Management Inc. provides discretionary investment management and sub-advisory services to a diverse client base, including institutional investors, private clients, sovereign wealth funds, and other investment advisers. The firm employs a value-oriented investment process supported by fundamental research and a dedicated Growth team, managing a broad range of institutional separate-account composites and customized accounts.

ESG / Sustainable investing Active portfolio management
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Tony S

Series 63, Series 65

Purchase, NY

SeaCrest Wealth Management, LLC

Tony Saemai is a financial advisor with SeaCrest Wealth Management, LLC, holding Series 63 and Series 65 licenses and bringing 20 years of industry experience. He has been associated with Purshe Kaplan Sterling Investments and SeaCrest Wealth Management since 2013. SeaCrest Wealth Management is an SEC-registered, multi-advisor firm serving individuals, trusts, estates, retirement plans, charitable organizations, and businesses. The firm offers comprehensive financial planning and investment management services, managing approximately $1.53 billion and employing a customized, long-term investment approach that combines fundamental and technical analysis with AI-supported decision-making.

Annuities Retirement plans for business owners (SEP, solo 401k) Divorce financial planning Founder/Business Owner Executive Approaching retirement
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Luis T

Series 63, Series 66

New York, NY

Jefferies Investment Advisers LLC

Luis Tascon is a financial advisor at Jefferies Investment Advisers LLC with 13 years of industry experience. He holds Series 63 and Series 66 licenses and has worked at several firms including Bancolombia Capital Advisers, Safra National Bank of New York, Raymond James & Associates, and Jefferies LLC. Luis is based in New York, NY. Jefferies Investment Advisers LLC provides fee-based financial planning services to individuals, trusts, estates, foundations, charitable organizations, corporations, and other business entities. The firm offers customized, collaborative planning that covers various financial topics and utilizes third-party software to support probability-based outcomes in its analyses.

General retirement planning Income planning Equity compensation tax strategy Concentrated stock management Charitable giving & philanthropy
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Joseph F

CFP®, Series 65

White Plains, NY

Brownson, Rehmus & Foxworth, Inc.

Joseph Farrell is a CFP® and holds a Series 65 license, with 14 years of experience in financial advising. He has been with Brownson, Rehmus & Foxworth, Inc. since 2010. Brownson, Rehmus & Foxworth, Inc. provides personalized, fee-only financial counseling and non-discretionary investment advisory services to high-net-worth individuals, families, trusts, estates, and private foundations. The firm emphasizes customized long-term asset allocation and diversification strategies, with a focus on broad diversification and client-directed decision-making.

Concentrated stock management Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Wealth management Executive Founder/Business Owner
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Daniel W

CFA®, Series 63

New York, NY

Cannell & Spears LLC

Daniel Wetchler is a CFA® charterholder with four years of industry experience. He is currently with Cannell & Spears LLC and previously worked at Spears Abacus Advisors LLC and Integre Asset Management. Cannell & Spears provides discretionary portfolio management, financial planning, and rollover advice to individual and institutional clients. The firm follows a value-oriented, long-term investment approach based on proprietary fundamental research and concentrated security selection, serving a diverse client base including high-net-worth individuals, charities, pension plans, trusts, and corporations.

Private / alternative investments Concentrated stock management
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Kenneth S

Series 63, Series 66

Fair Lawn, NJ

NPA Asset Management, LLC

Kenneth Schnoll is a financial advisor at NPA Asset Management, LLC with 38 years of industry experience. He holds Series 63 and 66 licenses and has worked with firms including Nationwide Planning Associates, Cetera Advisor Networks, and Summit Financial Group. Outside of his advisory role, he is involved in buying and selling collectibles as a personal interest. NPA Asset Management, LLC is an SEC-registered adviser serving individuals, corporations, pension, and charitable accounts through a network of 51 advisors. The firm manages approximately $1.065 billion in assets and offers multiple managed-account programs, third-party asset manager referrals, and access to a variety of investment products.

Wealth management Active portfolio management Tax-loss harvesting College savings (529s, UTMA, etc.)
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