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Raymond R

Series 65, Series 63

Radnor, PA

Janney Montgomery Scott

Raymond Regalbuto is a financial advisor at Janney Montgomery Scott with credentials including Series 65 and Series 63 licenses. He has two years of industry experience and previously worked at FS Investment Solutions, Mondrian Investment Partners, and BG Capital. In addition to his advisory role, he has an ongoing involvement with Saloon Restaurant. Janney Montgomery Scott LLC is a large firm managing approximately $110 billion in client assets, serving a diverse clientele that includes individuals, families, trusts, corporate and retirement plan sponsors, and municipal clients. The firm offers a range of brokerage, financial planning, and advisory services, employing a combination of in-house and third-party portfolio management across multiple wrap programs and managed accounts.

ESG / Sustainable investing Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Wealth management Executive Founder/Business Owner
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Michael D

Series 63, Series 65

Wayne, PA

Principal Financial Services

Michael Dwyer is a financial advisor with Principal Financial Services in Wayne, PA. He holds Series 63 and Series 65 licenses and has 11 years of industry experience. He has worked at Principal Securities Inc. since 2016 and at Principal Life Insurance Company since 2015. Michael is a partner in Dwyer Wealth Management LLC, an entity used for managing business expenses alongside two other partners. Principal Securities provides brokerage and registered investment advisory services to a wide range of clients, including individuals, retirement plans, trusts, and corporations. The firm offers direct advisory programs, financial planning, retirement plan consulting, and access to third-party money managers through various advisory and promoter arrangements.

Retired Founder/Business Owner
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Carolyn S

CFP®, Series 66

Wayne, PA

Principal Financial Services

Carolyn Seiter is a CFP®-designated financial advisor with Principal Financial Services in Wayne, PA, bringing three years of industry experience. She has worked with Laudadio Wealth Management Group and Principal Life Insurance Company and serves as Vice President of Sunnyside Kitchen, LLC, a business involved in cooking demonstrations and merchandise sales. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, and active-duty military personnel. The firm offers financial planning, retirement consulting, and access to third-party money manager programs with both adviser and promoter arrangements.

Retired Founder/Business Owner
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Duane P

Series 63, Series 66

King of Prussia, PA

Private Advisor Group, LLC

Duane Pinnock is a financial advisor with Private Advisor Group, LLC, holding Series 63 and Series 66 licenses and five years of industry experience. His prior roles include positions at LPL Financial, Kestra Advisory, Kestra Investment Services, and Pacific Life Insurance. He has also been involved with True Light Fellowship Church in a non-investment capacity. Private Advisor Group, LLC is an SEC-registered advisory firm managing over $41 billion across more than 135,000 client relationships. The firm serves individuals, trusts, estates, charitable organizations, and corporate and retirement plan clients, offering a range of portfolio management and financial planning services supported by multiple third-party asset management programs and extensive industry affiliations.

Retired Founder/Business Owner
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Kenneth V

Series 63, Series 66

Kennett Square, PA

Commonwealth Financial Network

Kenneth Vance is a financial advisor with Commonwealth Financial Network based in Kennett Square, PA. He holds Series 63 and Series 66 licenses and has nine years of industry experience. His prior work includes roles at Retirement Capital Advisors, Pacer Advisors, and Columbia Management Investment Distributors. Commonwealth Financial Network serves a national network of approximately 2,950 advisors and their retail and institutional clients, providing a range of advisory programs and services with a focus on operations, technology, investment management, and practice-management support.

Passive / index investing Active portfolio management Tax-loss harvesting Wealth management Retirement income strategy Founder/Business Owner Executive Retired
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Colin S

Series 66

Malvern, PA

Wealth Enhancement Advisory Services, LLC

Colin Smith is a financial advisor with Wealth Enhancement Advisory Services, LLC, holding a Series 66 designation and seven years of industry experience. His prior roles include positions at Bank of America, Merrill, and J.P. Morgan Chase. He is based in Malvern, PA. Wealth Enhancement Advisory Services, LLC is an SEC-registered enterprise advisory firm serving a diverse client base, including individuals, trusts, estates, charitable organizations, corporations, and retirement plans. The firm employs a strategic investment approach that combines passive and active management, supported by quantitative and fundamental research and an internal Investment Committee.

Active portfolio management Factor investing / smart beta Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Executive Founder/Business Owner Retired HENRY (High Earners, Not Rich Yet) Mid-Career Professionals Approaching retirement Baby Boomers (Born 1946-1964)
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Brendan D

Series 66

Wayne, PA

Principal Financial Services

Brendan Dwyer is a financial advisor at Principal Financial Services with seven years of industry experience. He holds the Series 66 designation and has worked at Principal Securities and Principal Life Insurance Company since 2021, following a prior role at Janney Montgomery Scott. Dwyer serves on the boards of Our Mother of Consolation Parish School and The GOD'S CHILD Project, providing governance and oversight for these nonprofit organizations. Principal Securities offers brokerage and registered investment advisory services to a diverse client base, including individuals, retirement plans, trusts, and charitable organizations. The firm emphasizes direct advisory programs, financial planning, and access to third-party money manager solutions through both advisory and promoter arrangements.

Retired Founder/Business Owner
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Thomas F

CFP®, Series 65

Malvern, PA

Wealth Enhancement Advisory Services, LLC

Thomas Flynn is a CFP® and Series 65-licensed financial advisor with Wealth Enhancement Advisory Services, LLC, based in Malvern, PA. He has four years of industry experience, including prior roles at Barilotti Wealth Strategies and a background in education with Temple University and Garnet Valley School District. Wealth Enhancement Advisory Services, LLC is an SEC-registered enterprise advisory firm serving individuals, trusts, estates, charitable organizations, corporations, and retirement plans through a large network of advisors. The firm’s investment approach combines strategic asset allocation with passive and active management, supported by quantitative and fundamental research and periodic rebalancing.

Active portfolio management Factor investing / smart beta Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Executive Founder/Business Owner Retired HENRY (High Earners, Not Rich Yet) Mid-Career Professionals Approaching retirement Baby Boomers (Born 1946-1964)
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Mark D

Series 63, Series 65

Exton, PA

Independent Financial Group, LLC

Mark Diaddezio is a financial advisor with Independent Financial Group, LLC, holding Series 63 and Series 65 credentials and bringing 19 years of industry experience. He has worked at H. Beck, Inc. since 2012. Outside of his advisory role, he serves as a board member for Conestoga Christian School. Independent Financial Group, LLC is a dual-registered broker-dealer and SEC-registered investment adviser serving individuals, charities, corporations, and plan sponsors. The firm offers a range of brokerage, portfolio management, and financial planning services, utilizing multiple advisory platforms and third-party managers to accommodate diverse client needs.

Wealth management Passive / index investing Active portfolio management Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Aidan K

Series 66

Wilmington, DE

PNC Wealth Management

Aidan Keaveney is a financial advisor with PNC Wealth Management holding a Series 66 designation and beginning his career in 2025. Prior to joining PNC Investments LLC, he was involved with Keaveney Construction LLC and Westport Parks and Recreation. PNC Wealth Management offers retail brokerage and advisory services through model-based digital programs, including an invitation-only Portfolio Solutions Strategist Digital Offering that uses algorithm-driven risk assessments and executes investments via approved model strategies.

Passive / index investing Active portfolio management Wealth management Executive
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James C

Series 63, Series 66

King of Prussia, PA

Guardian Life

James Cox is a financial advisor with Park Avenue Securities, a subsidiary of Guardian Life, holding Series 63 and Series 66 licenses and bringing 23 years of industry experience. He has worked at both Park Avenue Securities and Guardian Life since 2012. Outside of his advisory role, Cox engages in recreational painting with his daughter, maintains a personal art sale website, writes articles for Medium, serves as treasurer for the Arts Community of Easton, and volunteers with Animal Defenders of Greater Lehigh Valley. Park Avenue Securities LLC serves individuals, pension and profit-sharing plans, charitable organizations, and corporate clients with brokerage services, financial planning, retirement plan consulting, and investment advisory programs that include proprietary and third-party strategies.

Retirement income strategy Business exit / sale strategy Wealth management Private / alternative investments Founder/Business Owner Retired Executive
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William M

CFP®, ChFC®, Series 63, Series 65

Malvern, PA

Wealth Enhancement Advisory Services, LLC

William Mullin is a CFP® and ChFC® with 29 years of industry experience, currently serving as a financial advisor at Wealth Enhancement Advisory Services, LLC. His prior experience includes roles at LPL Financial, Hoover Financial Advisors, Purshe Kaplan Sterling Investments, and Villanova Financial Services. Outside of his advisory work, he is president and owner of Texadelphia, an organization focused on helping veterans and their families with employment and business growth. Wealth Enhancement Advisory Services, LLC is an SEC-registered enterprise advisory firm that serves individuals, trusts, estates, charitable organizations, corporations, and retirement plans. The firm employs a strategic investment approach combining passive and active managers, supported by an internal Investment Committee, and offers a range of financial planning, asset management, and specialized consulting services.

Active portfolio management Factor investing / smart beta Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Executive Founder/Business Owner Retired HENRY (High Earners, Not Rich Yet) Mid-Career Professionals Approaching retirement Baby Boomers (Born 1946-1964)
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Joseph P

CFP®, CFA®, Series 63

Radnor, PA

Schwab Wealth Advisory

Joseph Price is a CFP® and CFA® charterholder with six years of industry experience. He is currently an advisor at Schwab Wealth Advisory Inc. and Charles Schwab, where he has worked since 2021. Prior to that, he held roles at The Vanguard Group and Von Urff & Associates, and he also worked at Wawa, Inc. earlier in his career. Schwab Wealth Advisory, Inc. provides non-discretionary fiduciary investment advice to clients enrolled in the Schwab Wealth Advisory program. The firm utilizes Schwab’s asset allocation models and research tools to offer investment recommendations, while clients retain final trading decisions and receive at least annual account reviews.

Passive / index investing Private / alternative investments
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Kevin D

Series 66

Media, PA

Equity Services, inc.

Kevin Drobnes is a financial advisor with Equity Services, Inc. who holds a Series 66 designation and has 23 years of industry experience. He has worked with National Life of Vermont and SD Associates, in addition to his current role at Equity Services. Outside of his advisory work, he is a licensed insurance agent involved in insurance sales and has interests in accounting and real estate through partnerships and shareholding roles. Equity Services, Inc., operating as ESI Financial Advisors, provides financial planning, consulting, and asset management to individuals, corporations, trusts, estates, charitable organizations, and employer retirement plans. The firm combines long-term investment strategies with options for shorter-term trading, offers multiple advisory platforms, and uses a network of third-party asset managers and model portfolios.

Retirement plans for business owners (SEP, solo 401k) Options & derivatives strategies Income planning Founder/Business Owner Retired Executive
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David D

Series 63, Series 65

Wayne, PA

GWN Securities Inc.

David Donovan is a financial advisor with GWN Securities Inc. in Collegeville, PA, holding Series 63 and Series 65 credentials and 29 years of industry experience. He has been with GWN Securities since 2006. In addition to his advisory role, he provides insurance education and quotes related to long-term care, fixed, and FIA products. GWN Securities is an SEC-registered investment adviser and broker-dealer serving individual and business clients through discretionary managed accounts, financial planning, and access to third-party sub-advisers and model portfolios. The firm operates a large network of advisors and offers a range of managed-account programs, including legacy market-timing and momentum-based strategies.

Wealth management Passive / index investing Active portfolio management Tax-loss harvesting Retirement withdrawal strategies Founder/Business Owner
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Wayne T

Series 63, Series 66

Wayne, PA

Kestra Advisory

Wayne Thompson is a financial advisor with Kestra Advisory, holding Series 63 and Series 66 licenses and bringing 10 years of industry experience. His prior roles include positions at The Beacon Group of Companies, LPL Financial, and Ascensus, LLC. In addition to his advisory work, he has been involved in consulting on employer-sponsored retirement plan design, vendor selection, investment oversight, and employee education. Kestra Advisory provides investment advisory and retirement-plan consulting services to a diverse client base, including plan sponsors and large institutional investors. The firm offers a variety of solutions such as fiduciary consulting, plan design, employee education, and access to multiple management platforms and third-party managed solutions.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Annuities Wealth management Founder/Business Owner Executive
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Rocco M

Series 66

King of Prussia, PA

Guardian Life

Rocco Mazzei is a financial advisor with Guardian Life and holds a Series 66 designation. He has one year of industry experience, including roles at Guardian Life Insurance Company and Park Avenue Securities. Outside of his advisory work, Mazzei has held positions at various organizations, including Salve Regina University and The Reef Newport. Park Avenue Securities LLC, operating as Park Avenue® Wealth Management, is a dually registered broker-dealer and SEC-registered investment adviser serving individuals, high-net-worth clients, pension plans, charitable organizations, and corporate clients. The firm offers a range of brokerage services, financial planning, and investment advisory programs, leveraging both proprietary and third-party models.

Retirement income strategy Business exit / sale strategy Wealth management Private / alternative investments Founder/Business Owner Retired Executive
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Michael L

Series 65, Series 63

Wayne, PA

Principal Financial Services

Michael Langley is a financial advisor with Principal Financial Services in Wayne, PA, holding Series 65 and Series 63 licenses and three years of industry experience. His prior roles include positions at NYLIFE Securities LLC and New York Life Insurance Company, as well as experience in education and professional coatings. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, offering financial planning, retirement plan consulting, and access to third‑party money manager asset allocation and separately managed account solutions.

Retired Founder/Business Owner
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Kyle S

CFP®, Series 66

Media, PA

Janney Montgomery Scott

Kyle Slane is a CFP® with six years of experience and is currently with Janney Montgomery Scott. He has been with the firm since 2019, following earlier roles at the University of Kentucky and Wellshire Farms. Outside of his advisory work, he coaches youth baseball teams in New Jersey and California. Janney Montgomery Scott LLC is a large, dually registered broker-dealer and SEC-registered investment adviser managing approximately $110 billion in client assets. The firm serves a diverse client base, including individuals, families, trusts, corporate and retirement plan sponsors, and municipal clients, offering brokerage services, financial planning, and multiple advisory programs.

ESG / Sustainable investing Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Wealth management Executive Founder/Business Owner
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Philip D

Series 63, Series 65

West Chester, PA

Janney Montgomery Scott

Philip Diprimio is a financial advisor at Janney Montgomery Scott with 41 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Janney Montgomery Scott since 2013. Based in West Chester, PA, he provides advisory services within a large enterprise firm. Janney Montgomery Scott LLC manages approximately $110 billion in client assets and serves a diverse client base including individuals, families, trusts, estates, corporate and retirement plan sponsors, charitable organizations, and municipal clients. The firm offers brokerage, financial planning, consulting, and various advisory programs through a combination of in-house portfolio management and third-party managers.

ESG / Sustainable investing Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Wealth management Executive Founder/Business Owner
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