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Mary M

Series 63, Series 66

Chicago, IL

IHT Wealth Management LLC

Mary Mulcrone is a financial advisor with IHT Wealth Management LLC, holding Series 63 and Series 66 licenses and bringing 25 years of industry experience. She has worked at IHT Wealth Management and LPL Financial since 2021 and previously spent 12 years with Cetera Financial Specialists LLC. Mulcrone is also a commissioned notary public in the state of Illinois. IHT Wealth Management serves a diverse client base including individuals, pension and profit-sharing plans, charitable organizations, trusts, and corporate clients. The firm employs a blend of fundamental stock selection and quantitative tools within diversified model portfolios, and offers discretionary asset management alongside financial planning and ERISA consulting services through a network of approximately 153 advisors.

Concentrated stock management Options & derivatives strategies Tax-loss harvesting Founder/Business Owner
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Symour J

CFP®, Series 63

Downers Grove, IL

Wealthcare Advisory Partners LLC

Symour Jacobs is a CFP® with 36 years of experience in the financial services industry. He is currently with Wealthcare Advisory Partners LLC, where he has worked since 2021. Prior to that, he was with Cambridge Investment Research Advisors and Cambridge Investment Research, Inc. for over a decade, and also operated Sy Jacobs CFP LLC. Jacobs is also an independent insurance agent for various insurance companies. Wealthcare Advisory Partners LLC manages approximately $6.0 billion in client assets through a team of more than 150 advisors. The firm serves individuals, trusts, estates, retirement plans, charitable organizations, and businesses, offering wealth management, financial planning, and access to alternative and private placement investments. Their advisory process integrates goals-based planning with an evidence-based investment framework supported by proprietary quantitative tools.

Private / alternative investments Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Megan S

Series 66

Chicago, IL

Northern Trust Securities, Inc.

Megan Smolinske is a Series 66-licensed financial advisor at Northern Trust Securities, Inc. in Chicago, IL, with four years of industry experience. Her prior roles include positions at Woodbury Financial Services, Inc. and Independent Advisors Group. Northern Trust Securities, Inc. is a subsidiary of Northern Trust Corporation providing discretionary portfolio management to high-net-worth individuals, retail investors, and institutional clients. The firm offers model-driven portfolios featuring proprietary and third-party mutual funds, ETFs, and separately managed accounts through the Fidelity Managed Account Xchange platform.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
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Ruth G

Series 63, Series 65

Skokie, IL

Avantax Planning Partners, Inc.

Ruth Goran is a financial advisor with Avantax Planning Partners, Inc. in Skokie, IL, holding Series 63 and Series 65 licenses and bringing 24 years of industry experience. She has been with Avantax Planning Partners since 2001 and maintains a CPA tax practice serving closely held companies and their owners. Outside of her advisory role, she is president of Entertain2Educate, a company focused on developing educational scripts, and is actively involved in several nonprofit organizations in board and treasurer roles. 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 model-based style allocation strategies and discretionary portfolio management, supported by an Investment Advisory Committee and 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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John K

Series 63, Series 65

Oakbrook Terrace, IL

IHT Wealth Management LLC

John Kinsella is a financial advisor with IHT Wealth Management LLC, holding Series 63 and Series 65 licenses and bringing 44 years of industry experience. He has been with IHT Wealth Management and LPL Financial since 2015. IHT Wealth Management serves individuals, pension and profit-sharing plans, charitable organizations, trusts, and corporate clients. The firm combines fundamental stock selection with quantitative tools and diversified model portfolios, offering discretionary asset management, financial planning, and ERISA fiduciary services through a network of approximately 153 advisors.

Concentrated stock management Options & derivatives strategies Tax-loss harvesting Founder/Business Owner
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Jordan L

CFP®, ChFC®, Series 66

Oak Brook, IL

VestGen Advisors, LLC

Jordan Layer is a CFP® and ChFC® with 25 years of experience in the financial services industry. He is currently an advisor at VestGen Advisors, LLC and has held roles at Resources Investment Advisors, Triad Advisors, Penn Mutual Life Insurance, and Hornor Townsend & Kent. Layer is also licensed as an insurance agent. VestGen Advisors, LLC is a multi-team registered investment adviser managing approximately $3.47 billion for over 9,400 clients. The firm serves individual and high-net-worth clients, offering discretionary and non-discretionary investment management, financial planning, 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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Madeline H

Series 66

Chicago, IL

B. Riley Wealth Advisors, Inc.

Madeline Holley is a financial advisor at B. Riley Wealth Advisors, Inc. with eight years of industry experience. She holds a Series 66 designation and has worked at firms including National Securities Corporation and B. Riley Wealth Management. Her background also includes roles at the University of Illinois and its Office of Government Relations. B. Riley Wealth Advisors provides investment advice and portfolio management to a diverse client base, including individuals, pension plans, trusts, charitable organizations, and corporate clients. The firm offers multiple investment programs and manages approximately $4.21 billion in client assets through a team of about 173 advisors.

Wealth management Retirement income strategy Executive Founder/Business Owner Retired
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David B

Series 63, Series 65

Chicago, IL

VestGen Advisors, LLC

David Bolanos is a financial advisor at VestGen Advisors, LLC with 18 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at LPL Financial LLC, Wealth Management Group, LLC, and Private Client Services. VestGen Advisors is a multi-team registered investment adviser managing approximately $3.47 billion for over 9,400 clients. The firm serves individual and high-net-worth clients, offering discretionary and non-discretionary investment management, financial planning, and retirement plan services, utilizing a range of analytical methods and third-party managers to implement 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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Jeannette A

Series 63, Series 65

Itasca, IL

Thurston Springer Advisors

Jeannette Adcock is a financial advisor with Thurston Springer Advisors, holding Series 63 and Series 65 licenses and bringing 39 years of industry experience. She previously worked at Wayne Hummer Investments for 13 years before joining David A. Noyes & Company, where she has worked for the past nine years. Thurston Springer Advisors serves a broad client base including individuals, corporations, retirement plans, foundations, endowments, estates, and trusts. The firm provides tailored advisory services through a combination of discretionary and non-discretionary programs, utilizing a range of investment approaches from buy-and-hold to active tactical strategies.

General estate planning guidance Multi-generational wealth transfer Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Options & derivatives strategies Founder/Business Owner Executive
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Conner T

Series 63, Series 65

Oakbrook Terrace, IL

Mutual Of Omaha Investor Services, Inc.

Conner Tilmon is a financial advisor with Mutual of Omaha Investor Services, Inc., holding Series 63 and Series 65 licenses and one year of industry experience. Prior to joining the firm, he worked at Mutual of Omaha Insurance Company, Epic Valet, We-Ko-Pa Golf Resort, and Rockford Country Club. Mutual of Omaha Investor Services, Inc. provides advisory services to individuals, corporations, and qualified retirement plans, offering financial planning, managed account programs, and retirement plan consulting. The firm delivers managed solutions primarily through a platform relationship with Envestnet and supports a range of client-directed discretionary authority arrangements.

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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Luis S

Series 63

Chicago, IL

B. Riley Wealth Advisors, Inc.

Luis Sepulveda is a financial advisor with B. Riley Wealth Advisors, Inc. in Chicago, IL, holding a Series 63 designation and 34 years of industry experience. His career includes roles at Stifel, National Securities Corporation, National Asset Management, and B. Riley Wealth Management. He is also involved in health and life insurance sales through a related affiliated business. B. Riley Wealth Advisors provides investment advice and portfolio management to individual clients, pension plans, trusts, charitable organizations, and corporate clients. The firm offers multiple program options, including internally managed models and third-party managed accounts, overseeing approximately $4.21 billion in client assets.

Wealth management Retirement income strategy Executive Founder/Business Owner Retired
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Jason B

CFP®, Series 63

Lombard, IL

OnePoint BFG Wealth Partners

Jason Balogh is a CFP® professional with six years of experience in financial services. He is currently with OnePoint BFG Wealth Partners and has previously worked at Northwestern Mutual Wealth Management Company and Northwestern Mutual Investment Services LLC. Outside of advising, he may earn commissions from insurance product sales. OnePoint BFG Wealth Partners offers customized financial planning and wealth management to a diverse client base, including individuals, retirement plans, charitable organizations, trusts, estates, and corporate entities. The firm employs a combination of proprietary investment models, third-party managers, and custodian-sponsored programs, with most assets managed on a discretionary basis.

Founder/Business Owner Executive Retired Mid-Career Professionals HENRY (High Earners, Not Rich Yet)
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Benjamin W

CFP®, Series 66

Lombard, IL

Capital Analysts

Benjamin Weinberger is a CFP®-certified financial advisor with four years of industry experience, currently with Capital Analysts in Lombard, IL. His prior roles include positions at Lincoln Investment and Cetera. Weinberger is also involved in providing insurance and financial services through his roles with WealthGuide Advisors, LLC and THG Financial Strategies. Capital Analysts serves a diverse client base including individuals, high-net-worth investors, retirement plans, trusts, and charitable organizations. The firm offers discretionary and non-discretionary portfolio management supported by an in-house investment team, combining proprietary mutual fund screening with advisor consultation and third-party manager options.

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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Frank L

Series 65

Chicago, IL

Zacks Investment Management, Inc.

Frank Lanza is a financial advisor at Zacks Investment Management, Inc. with 24 years of industry experience. He holds a Series 65 designation and has been with Zacks and its affiliated firms since 2008. Zacks Investment Management provides discretionary portfolio management to a diverse client base, including individuals, trusts, estates, retirement plans, charitable and corporate entities, and institutional investors. The firm combines quantitative and qualitative analysis using proprietary models centered on earnings-estimate revisions and offers a wide range of strategies and investment vehicles across retail, institutional, and third-party distribution channels.

Active portfolio management ESG / Sustainable investing Tax-loss harvesting Passive / index investing Retirement withdrawal strategies Founder/Business Owner Retired
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William K

Series 63, Series 65

Palatine, IL

Ausdal Financial Partners, Inc.

William Karstenson Jr. is a financial advisor with Ausdal Financial Partners, Inc. in Arlington Heights, IL, holding Series 63 and Series 65 licenses and bringing 33 years of industry experience. He has been with Ausdal since 2010 and has operated Karstenson Financial Services since 1997. Outside of his advisory work, Karstenson serves as a permanent deacon for the Archdiocese of Chicago, performing liturgical and ministerial duties. 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, utilizing a range of discretionary and non-discretionary investment strategies across various asset classes.

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

CFP®, Series 65

Chicago, IL

Plante Moran financial advisors

Scott Schwartz is a CFP® and holds a Series 65 license with eight years of industry experience. He has been with Plante Moran Financial Advisors since 2017, following prior roles including at the Michigan Export Growth Program and Michigan State University. Based in Chicago, IL, Scott provides financial advisory services within a multi-team firm. Plante Moran Financial Advisors serves individual and institutional clients, offering investment advisory, financial planning, and estate-planning services. The firm employs fundamental, technical, and cyclical analysis alongside proprietary equity valuation models to develop strategic asset allocations and manage a substantial portfolio mix through discretionary and non-discretionary arrangements.

Options & derivatives strategies Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner
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Amy M

Series 63, Series 66

Downers Grove, IL

Ausdal Financial Partners, Inc.

Amy Marker is a financial advisor with Ausdal Financial Partners, Inc., holding Series 63 and Series 66 designations and over 30 years of industry experience. Her prior roles include positions at Edward Jones and Northern Trust. She has worked at Ausdal Financial Partners in two separate tenures totaling nine years. Ausdal Financial Partners serves individuals, trusts, estates, retirement plans, and business entities, managing approximately $3.73 billion for over 16,000 clients. The firm offers a variety of investment services and tailors strategies to client objectives, utilizing multiple custodians and integrating third-party managers in its solutions.

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

Series 65

Chicago, IL

Chicago Capital, LLC

Joann Seagren is a financial advisor at Chicago Capital, LLC with 16 years of industry experience. She holds a Series 65 designation and has previously worked at JAG Capital Management LLC, CIBC Private Wealth Advisors, Inc, and Geneva Advisors, LLC. Chicago Capital provides discretionary investment management, financial planning, and consulting services to a diverse client base including individuals, high-net-worth clients, families, foundations, other registered investment advisers, and corporations. The firm employs an active management approach combining fundamental and technical research to create individualized portfolios across various asset classes, focusing on long-term portfolio value and risk mitigation.

Active portfolio management Options & derivatives strategies
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Timothy B

Series 63, Series 65

Deerfield, IL

Merit Financial Advisors

Timothy Brennan is a financial advisor at Merit Financial Advisors with 37 years of industry experience. He holds Series 63 and Series 65 credentials and previously worked at Pinnacle Financial Group and Commonwealth Financial Network for 26 years. He is also a notary public. Merit Financial Advisors is a multi-team registered investment adviser with over 260 advisors serving more than 20,000 clients across 66 offices. The firm offers coordinated wealth-management services and employs a long-term, diversified investment approach with customizable portfolio models overseen by an internal Investment Management team.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Business ownership considerations Founder/Business Owner Retired Executive
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Christian L

Series 65

Park Ridge, IL

Maia Wealth

Christian Luna is a financial advisor at Maia Wealth with four years of industry experience. He holds a Series 65 designation and has worked at multiple firms, including Wealth Watch Advisors and Senior Solutions LLC. Luna has also served in the United States Naval Reserve. Maia Wealth provides investment advisory and financial planning services to individuals, trusts, estates, and businesses, offering both discretionary and non-discretionary portfolio management. The firm uses a variety of analytical approaches with a long-term focus and coordinates estate-planning and tax services through third-party specialists.

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