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Christopher N

Series 66

Dubuque, IA

LPL Financial

Christopher Noel is a financial advisor with LPL Financial in Dubuque, Iowa, holding a Series 66 credential and having 17 years of industry experience. Prior to joining LPL Financial in 2026, he worked at Ameriprise Financial Services, LLC and Ameriprise Financial Services, Inc. from 2016 to 2026. He is also an owner of Bridgewater Advisors Three LLC, where he manages an advisory business. LPL Financial is an SEC-registered investment adviser and broker-dealer serving a wide range of clients including individuals, retirement plans, banks, and charitable organizations through a national network of investment adviser representatives. The firm offers various financial planning and advisory programs, incorporating both discretionary and non-discretionary management with access to model portfolios and research from multiple sources.

College savings (529s, UTMA, etc.)
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Matthew S

Series 66

Dubuque, IA

LPL Financial

Matthew Stewart is a Series 66-licensed financial advisor with LPL Financial in Dubuque, Iowa, where he has worked since 2022. He has four years of industry experience, including positions at Dutrac Community Credit Union, HyVee, and the Candlelight Inn. LPL Financial is a registered investment adviser and broker-dealer serving a wide range of clients, including individuals, retirement plans, banks, credit unions, corporations, and charitable organizations. The firm offers various advisory programs, financial planning, and retirement consulting through a national network of investment adviser representatives.

College savings (529s, UTMA, etc.)
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Isaac S

Series 66

Dubuque, IA

LPL Financial

Isaac Stangl is a financial advisor with LPL Financial in Dubuque, IA, holding a Series 66 designation. He has experience working at Dupaco Community Credit Union and other local institutions, as well as roles in public service and education. Outside of finance, he has worked in law enforcement with the Jo Daviess County Sheriff's Office. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers a range of advisory programs, financial planning, and brokerage services, utilizing both discretionary and non-discretionary management supported by research and model portfolios.

College savings (529s, UTMA, etc.)
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Peter T

Series 66

Dubuque, IA

Wells Fargo Clearing

Peter Timmerman is a financial advisor with Wells Fargo Clearing in Dubuque, IA. He holds a Series 66 designation and has experience in the financial services industry beginning in 2022, including roles at Principal Financial Group and University of Wisconsin - Stevens Point. Wells Fargo Clearing provides retirement plan consulting services to qualified ERISA and non‑qualified deferred compensation plans, offering both discretionary and non‑discretionary advice. The firm’s approach is IPS-driven and incorporates modern portfolio theory, with a notable inclusion of insurance-related vehicles and bank deposit sweep options among its investment offerings.

Retired Founder/Business Owner
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Brendan H

Series 66

Dubuque, IA

Wells Fargo Clearing

Brendan Houlihan is a financial advisor with Wells Fargo Clearing in Dubuque, IA, holding a Series 66 designation and 18 years of industry experience. He has been with Wells Fargo affiliates since 2009, including Wells Fargo Advisors LLC prior to his current role. Wells Fargo Advisors is a national securities firm offering investment advisory services, financial planning, wrap-fee programs, and retirement plan consulting to individual, corporate, and institutional clients. The firm manages approximately $671 billion in assets and provides both brokerage and advisory solutions, using research from Wells Fargo Investment Institute alongside third-party data and diversification principles.

Retired Founder/Business Owner
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Barbara B

Series 66

Dubuque, IA

Wells Fargo Advisors

Barbara Barton is a financial advisor with Wells Fargo Advisors in Dubuque, IA, holding a Series 66 designation and four years of industry experience. Prior to joining Wells Fargo Advisors, she worked at the Dubuque Museum of Art and Mercy Medical Center. Wells Fargo Advisors Financial Network is a large broker-dealer and registered investment adviser affiliated with Wells Fargo, offering investment and fee-based financial planning services to individuals, trusts, and institutional clients. The firm provides a broad range of planning services, including retirement, education, risk, and wealth-transfer planning, utilizing proprietary research and tools to develop tailored recommendations.

Divorce financial planning Planning for children with special needs Business exit / sale strategy Cash flow / budgeting Founder/Business Owner
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Ericson H

CFP®, Series 63, Series 65

Dubuque, IA

LPL Financial

Ericson Hilbun is a financial advisor with LPL Financial, holding the CFP® designation and Series 63 and 65 licenses, with 23 years of industry experience. His career includes roles at CUNA Mutual Group, Collins Community Credit Union, Keller Williams, and Loras College. He is involved in a business entity called Freedom Financial Group, LLC, which is unrelated to investment advisory services. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, institutions, and charitable organizations through a national network of representatives. The firm offers a range of advisory programs, financial planning, and retirement plan consulting, utilizing model portfolios, third-party research, and advanced portfolio management technologies.

College savings (529s, UTMA, etc.)
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Joshua T

Series 66

Dubuque, IA

Thrivent Investment Management

Joshua Theisen is a financial advisor with Thrivent Investment Management, holding a Series 66 designation and one year of industry experience. Prior to joining Thrivent, he worked for East Dubuque Nitrogen Fertilizers for eight years. Outside of finance, he owns and operates a home decor business that sells products through Etsy and local craft shows. Thrivent Investment Management provides Dedicated Planning Services to individuals, families, businesses, and nonprofit clients, focusing on goal-based analyses and comprehensive planning across various financial topics. The firm offers these services without discretionary trading authority and allows clients to integrate planning with managed accounts under a consolidated billing option called “WealthPlan.”

Business ownership considerations
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Garret L

Series 66

Dubuque, IA

LPL Financial

Garret Locke is a financial advisor with LPL Financial based in Dubuque, IA, holding a Series 66 designation and eight years of industry experience. His prior roles include positions at CUNA Brokerage Services, CUNA Mutual Group, and Thrivent Financial. Outside of finance, Locke has served as a soccer referee since 1986. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers a range of financial planning and advisory programs, including discretionary and non-discretionary management supported by extensive research and technology tools.

College savings (529s, UTMA, etc.)
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Daniel M

Series 66

Dubuque, IA

Wells Fargo Advisors

Daniel Moore is a financial advisor at Wells Fargo Advisors in Dubuque, IA, holding a Series 66 designation with 12 years of industry experience. He has been with Wells Fargo Advisors since 2013. Wells Fargo Advisors Financial Network is a large broker-dealer and registered investment adviser serving individuals, trusts, and institutional clients. The firm offers a broad range of financial planning services, including cash-flow, retirement, education, and niche planning areas, using proprietary research and planning tools to develop tailored recommendations.

Divorce financial planning Planning for children with special needs Business exit / sale strategy Cash flow / budgeting Founder/Business Owner
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Charles C

Series 63, Series 66

Dubuque, IA

LPL Financial

Charles Cunliffe Jr. is a financial advisor with LPL Financial, holding Series 63 and Series 66 credentials and possessing 32 years of industry experience. He previously worked at VOYA Financial Advisors for six years before joining LPL Financial in 2020. Outside of his advisory role, he is the owner of Creative Maxims LLC, a non-investment-related business. LPL Financial is a national SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, corporations, and charitable organizations. The firm offers a variety of advisory programs, retirement plan consulting, and brokerage services, utilizing research from internal and third-party sources to support diversified investment strategies.

College savings (529s, UTMA, etc.)
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April H

Series 66

Dubuque, IA

Edward Jones

April Hanson is a financial advisor at Edward Jones with two years of industry experience. She holds a Series 66 designation and has been with Edward Jones since 2006. Outside of her advisory work, April owns a small business creating craft glitter cups. Edward Jones is a full-service wealth management firm serving individual and institutional clients with a range of advisory programs and investment solutions. The firm manages approximately $1.01 trillion in assets and operates through a large network of financial advisors and branch offices nationwide.

Wealth management Tax-loss harvesting Multi-generational wealth transfer Retired Founder/Business Owner Executive
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Sarah S

Series 66

Dubuque, IA

Wells Fargo Advisors

Sarah Spires is a financial advisor at Wells Fargo Advisors in Dubuque, Iowa, with 18 years of industry experience. She holds a Series 66 designation and has been with Wells Fargo Advisors Financial Network LLC since 2009. Wells Fargo Advisors Financial Network is a large broker‑dealer and registered investment adviser affiliated with Wells Fargo that provides investment and fee‑based financial planning services to individuals, trusts, and institutional clients. The firm offers a broad range of planning services and uses proprietary research and tools to develop tailored recommendations for its clients.

Divorce financial planning Planning for children with special needs Business exit / sale strategy Cash flow / budgeting Founder/Business Owner
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Frederick G

Series 66

Dubuque, IA

LPL Financial

Frederick Ganter is a financial advisor at LPL Financial with three years of industry experience. He previously worked at Ameriprise for four years and spent nine years in education at Elkhorn Area High School. Frederick holds the Series 66 designation. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers financial planning, various advisory programs, and retirement plan consulting with access to model portfolios and research from multiple sources.

College savings (529s, UTMA, etc.)
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Thomas C

CFP®, Series 66

Dubuque, IA

LPL Financial

Thomas Casey is a CFP® and Series 66-licensed financial advisor at LPL Financial with two years of industry experience. He previously worked at Ameriprise for three years and has been involved with the Boys and Girls Club of Greater Dubuque. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individual clients, retirement plans, institutions, and charitable organizations through a national network. The firm offers a range of advisory programs, retirement plan consulting, and brokerage services, utilizing model portfolios, third-party research, and advanced technologies such as machine learning.

College savings (529s, UTMA, etc.)
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Tammy B

Series 66

Dubuque, IA

Wells Fargo Advisors

Tammy Beasley is a financial advisor at Wells Fargo Advisors with 18 years of industry experience. She holds the Series 66 designation and has worked at several firms including Prudential and GWFS Equities, Inc. Outside of her advisory role, she is involved with Ritzy Repeats, a venture she has been part of since 2025. Wells Fargo Advisors serves individuals, trusts, and institutional clients by offering investment and fee-based financial planning services supported by Wells Fargo research and tools. The firm provides a broad range of planning services, including specialized areas such as business-owner transition and special-needs planning.

Divorce financial planning Planning for children with special needs Business exit / sale strategy Cash flow / budgeting Founder/Business Owner
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Jaymes B

Series 66

Dubuque, IA

Raymond James Financial

Jaymes Billmyer is a financial advisor with Raymond James Financial in Dubuque, IA, holding a Series 66 designation and 12 years of industry experience. He has been with Raymond James Financial Services Advisors, Inc. since 2014. Outside of his advisory role, he is the owner of Billmyer Wealth Services, a financial planning support company. Raymond James Financial Services Advisors, Inc. provides financial planning, investment consulting, and advisory services to a diverse client base including individuals, high-net-worth clients, corporations, and institutions. The firm uses tailored, non-discretionary planning supported by analytical tools and offers specialized programs such as municipal advisory services and SIMPLE IRA Employer Advisory & Consulting Services.

Wealth management Tax strategies for small businesses Business succession planning General estate planning guidance Founder/Business Owner Executive
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Stefan J

Series 65, Series 63

Dubuque, IA

OSAIC

Stefan Johnson is a financial advisor with OSAIC, holding Series 65 and Series 63 designations and bringing eight years of industry experience. His prior roles include positions at Prudential Insurance Company of America, LPL Enterprise, and Transamerica Financial Advisors. Outside of his advisory work, he serves as an itinerant preacher and teacher, conducting ministry activities at various churches in the Midwest. OSAIC serves a broad mix of retail and institutional clients through a large network of affiliated advisers and offers integrated brokerage, advisory services, and access to multiple investment platforms. The firm utilizes asset-allocation tools and third-party managers to construct diversified portfolios managed on discretionary or non-discretionary bases.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Mitchell M

Series 66

Dubuque, IA

OSAIC

Mitchell McGraw is a financial advisor at OSAIC with nine years of industry experience and holds a Series 66 designation. His career includes roles at FDG Mitch McGraw LLC and McGraw Property Management LLC, and he serves as an officer in the Iowa National Guard. In addition to his advisory work, he is involved in property management and insurance brokerage. OSAIC serves a broad range of clients, including individual and institutional investors, offering brokerage and investment advisory services through a large network of affiliated advisers. The firm employs various asset-allocation tools and supports discretionary and non-discretionary account management, incorporating multiple investment vehicles and third-party platforms.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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James G

Series 66

Dubuque, IA

Wells Fargo Clearing

James Gorton is a financial advisor at Wells Fargo Clearing with seven years of industry experience. He has worked at Wells Fargo Clearing since 2018 and previously spent two years at First Community Trust. Outside of his advisory role, he serves as a trustee on the Carnegie-Stout Public Board of Trustees in Dubuque, Iowa. Wells Fargo Advisors is a national securities firm that provides investment advisory services, financial planning, and retirement plan consulting to individual, corporate, and institutional clients. The firm combines brokerage and advisory solutions, leveraging research from Wells Fargo Investment Institute and third-party sources to support diversified investment strategies.

Retired Founder/Business Owner
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