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Stephanie R

CFP®, Series 65

Bellevue, WA

Wealth Enhancement Advisory Services, LLC

Stephanie Roberts is a CFP® with six years of industry experience, currently serving as a financial advisor at Wealth Enhancement Advisory Services, LLC in Bellevue, WA. She previously worked at The H Group Washington, Inc. and Harvest Capital Advisors. From 2018 to 2020, she was involved with When in Travel Series LLC. Wealth Enhancement Advisory Services provides financial planning, asset management, and retirement-plan consulting to individuals, high-net-worth clients, corporations, and retirement plans. The firm manages over $122 billion in assets and employs a diversified investment approach blending passive and active managers with quantitative, momentum, and fundamental analysis.

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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Evan W

Series 65, Series 63

Bellevue, WA

Hightower Advisors

Evan Wirkkala is a financial advisor at Hightower Advisors with four years of industry experience. He holds Series 65 and Series 63 licenses and has previously worked at Clear Coast Partners, 30 North Group, Pathstone, and Cornerstone Advisors, Inc. Outside of his advisory role, he is the owner of Whiteline Advisory, where he serves as a consultant to private family operating businesses, and is a majority partner in Clear Coast Partners, LLC, a firm focused on healthcare-related investments. Hightower Advisors provides investment advisory and planning services to a diverse range of individual and institutional clients. The firm’s approach emphasizes manager selection and multi-manager solutions, utilizing a combination of affiliated and third-party managers alongside proprietary research and a variety of investment vehicles.

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

Series 63, Series 66

Renton, WA

Valic Financial Advisors

Judith Wildes is a financial advisor at Valic Financial Advisors with 42 years of industry experience. She holds Series 63 and Series 66 licenses and has been with Valic Financial Advisors since 2000. In addition to her advisory role, she is an agent for non-securities insurance products with Agia. Valic Financial Advisors primarily serves U.S.-domiciled individual investors, including high-net-worth and ultra-high-net-worth clients, as well as corporate and retirement-plan participants. The firm offers discretionary managed-account programs, financial planning, consulting, and brokerage services through its broker-dealer operations.

ESG / Sustainable investing Tax-loss harvesting Retirement income strategy
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Qiang L

Series 66, Series 63, Series 65

Bellevue, WA

HSBC Securities (USA) Inc.

Qiang Lu is a financial advisor at HSBC Securities (USA) Inc. with four years of industry experience. He holds Series 66, Series 63, and Series 65 licenses. His prior roles include positions at Howbuy Corporation, Transamerica Financial Advisors LLC, Citigroup Services and Technology (China) Limited, Merrill, and HSBC Qianhai Securities Co., Ltd. Lu's outside business activities include administrative support for Howbuy Corporation in a non-advisory capacity. HSBC Securities (USA) Inc. offers managed account programs to individuals, retirement accounts, charitable organizations, and corporations. The firm uses strategic and tactical asset allocation combined with global fund due diligence and offers both discretionary and non-discretionary portfolio management through several program types.

ESG / Sustainable investing Passive / index investing Active portfolio management Private / alternative investments
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Karen H

Series 66

Bellevue, WA

Rockefeller Financial LLC

Karen Henderson is a financial advisor with Rockefeller Financial LLC, holding a Series 66 designation and 25 years of industry experience. She previously worked at Morgan Stanley Smith Barney and Morgan Stanley & Co., Incorporated for a combined total of 15 years. Outside of her advisory role, she is a Notary Public in Seattle, WA. Rockefeller Financial LLC serves high-net-worth and ultra-high-net-worth individuals, families, family offices, institutional clients, and corporations. The firm offers a range of portfolio management and financial planning services, operates as a registered broker-dealer, and provides access to alternative investment vehicles through an integrated investment platform.

Wealth management Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Charitable giving & philanthropy Founder/Business Owner Retired
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Sasho S

Series 66

Redmond, WA

Schwab Wealth Advisory

Sasho Smileski is a financial advisor with Schwab Wealth Advisory, holding a Series 66 credential and six years of industry experience. He has worked at Charles Schwab & Co., Charles Schwab Bank, Bank of America, and Merrill. Outside of his advisory role, he owns residential rental properties in Washington. Schwab Wealth Advisory provides non-discretionary fiduciary investment advice through the Schwab Wealth Advisory program, offering services such as annual financial reviews and investment recommendations based on Schwab’s research tools and asset allocation models.

Passive / index investing Private / alternative investments
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Tate E

Series 66

Seattle, WA

D.A. Davidson & Co.

Tate Engleson is a financial advisor at D.A. Davidson & Co. based in Seattle, WA, holding a Series 66 designation with one year of industry experience. Prior to joining D.A. Davidson, he worked at Renaissance Financial and has experience with Creighton University, Pacific Life, and other organizations. D.A. Davidson & Co. provides investment advisory and brokerage services to a diverse client base, including retirement plans, individual and high-net-worth investors, charitable organizations, and corporations. The firm offers a range of services such as ERISA retirement plan advisory, financial planning, equity research, and a private wealth program for clients with over $20 million in net worth.

Wealth management Retirement income strategy Founder/Business Owner Executive HENRY (High Earners, Not Rich Yet) Established Professionals
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Michael E

CFP®, Series 65

Bellevue, WA

Focus Partners Wealth, LLC

Michael Ersser Jr. is a CFP® and Series 65 credentialed advisor at Focus Partners Wealth, LLC with seven years of industry experience. He previously worked at Merriman Wealth Management and BlackRock, and has an additional background in the food service industry with MOD Super-Fast Pizza. Focus Partners Wealth serves a range of clients including individuals, high-net-worth families, family offices, and institutional clients, offering services such as investment management, financial and tax planning, and employee benefit consulting. The firm employs a long-term, tax- and fee-sensitive investment approach that combines active and passive strategies within an enhanced open architecture framework.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Business sale tax planning Dentist Founder/Business Owner Executive Retired Established Professionals Approaching retirement Values-based investing
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Nhat N

Series 63, Series 65

Seattle, WA

Key Investment Services LLC

Nhat Nguyen is a financial advisor at Key Investment Services LLC in Seattle, WA, holding Series 63 and Series 65 licenses with four years of industry experience. His prior roles include positions at Bank of America, Merrill, and J.P. Morgan. Key Investment Services LLC serves individuals, trusts, estates, small businesses, and corporate clients through various advisory programs and managed accounts, emphasizing client-directed model selection and ongoing portfolio monitoring. The firm operates within the KeyCorp group and collaborates closely with affiliated banking and capital markets entities.

ESG / Sustainable investing Tax-loss harvesting Passive / index investing Active portfolio management
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Yulia A

Series 63, Series 66

Seattle, WA

TIAA-CREF

Yulia Aiden is a financial advisor with TIAA-CREF in Seattle, WA, holding Series 63 and Series 66 licenses and bringing nine years of industry experience. She has been with TIAA since 2017. Outside of her advisory role, she previously operated Yulia, LLC DBA Vino & Picasso for five years. TIAA-CREF Individual & Institutional Services, LLC’s Advice & Planning Services division provides financial planning and discretionary managed account programs primarily to individuals with existing TIAA retirement relationships, as well as to trusts, estates, partnerships, corporate entities, and small retirement plans. The firm separates point-in-time planning from ongoing discretionary management and serves as adviser to a donor-advised fund, operating within a vertically integrated structure that includes affiliated funds.

General estate planning guidance Retirement plans for business owners (SEP, solo 401k) Educators, Teachers, and Academics Founder/Business Owner Approaching retirement Mid-Career Professionals
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Carol P

Series 66

Bellevue, WA

Hightower Advisors

Carol Parrish is a financial advisor at Hightower Advisors in Bellevue, WA, with 11 years of industry experience. She holds a Series 66 designation and has worked at several firms including WCG Wealth Advisors, Park Avenue Securities, and Guardian Life Insurance. Hightower Advisors provides investment advisory and planning services to a diverse client base including individuals, institutions, and financial entities. The firm’s approach emphasizes manager selection and multi-manager solutions, utilizing both affiliated and third-party managers across various investment vehicles and strategies.

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

Series 66

Bellevue, WA

Eagle Strategies (NY Life)

Tayler Drynan is a financial advisor with Eagle Strategies (NY Life) based in Bellevue, WA, holding a Series 66 designation and five years of industry experience. Since 2021, Drynan has operated Drynan Strategic Financial Solutions and also serves as an insurance broker for non-registered insurance products. Eagle Strategies serves a broad mix of individual and institutional clients, offering financial planning, investment management, and retirement-plan advisory services through a large network of affiliated investment adviser representatives. The firm emphasizes tailored recommendations and manages the majority of its assets on a non-discretionary basis.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy General retirement planning Retirement income strategy Founder/Business Owner Executive
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Kevin D

CFP®, Series 63, Series 65

Seattle, WA

Oppenheimer

Kevin Daniel Jr. is a CFP® professional with 30 years of industry experience, currently serving as a financial advisor at Oppenheimer. He previously worked at Merrill and Bank of America, N.A. Kevin dedicates time annually to assist soon-to-be business school graduates with networking and has served on a university board for over a decade in a charitable capacity. Oppenheimer is a registered investment adviser and broker-dealer providing services to individuals, corporations, retirement plans, and charitable organizations. The firm offers a range of investment programs that incorporate both discretionary and non-discretionary management, with a notable portion of assets managed on a non-discretionary basis while maintaining custody of client assets.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy General retirement planning Wealth management Executive Founder/Business Owner
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Xun Z

Series 66

Bellevue, WA

Transamerica Financial Advisors

Xun Zhang is a financial advisor at Transamerica Financial Advisors with a Series 66 designation and no prior industry experience. Before joining Transamerica in 2025, Zhang worked in various roles including at Microsoft and Groupon. Zhang is a member of the Teochew Association of Washington State. Transamerica Financial Advisors serves individual investors, pension plans, trusts, charitable organizations, and corporations, offering both advisory and broker-dealer services through proprietary and third-party investment models across discretionary and non-discretionary platforms.

ESG / Sustainable investing Concentrated stock management Wealth management Founder/Business Owner
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Jason T

CFP®, Series 66

Bellevue, WA

Wealth Enhancement Advisory Services, LLC

Jason Tafoya is a CFP® professional with 15 years of industry experience, currently serving at Wealth Enhancement Advisory Services, LLC since 2026. His prior experience includes roles at The H Group Washington, Inc., CS Planning Corp, Evergreen Wealth, LLC, Stratos Wealth Partners, and LPL Financial. He is also a commissioned notary. Wealth Enhancement Advisory Services manages over $122 billion in assets through a large advisor network, offering financial planning, asset management, and retirement-plan consulting to individuals, high-net-worth clients, corporations, and retirement plans. The firm applies a diversified investment approach combining passive and active strategies, with portfolio oversight by 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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Matthew P

Series 63, Series 65

Bellevue, WA

Creative Planning

Matthew Pearson is a financial advisor with Creative Planning in Bellevue, WA, holding Series 63 and Series 65 licenses and eight years of industry experience. His prior roles include positions at Fidelity Investments, Global Retirement Partners, LPL Financial, Usi Advisors, M Holdings Securities, and Kibble & Prentice Holding Company. He serves on the board of Global Underwater Explorers, a diving community and training organization. Creative Planning provides investment advisory and financial planning services to a diverse client base, including individuals, corporations, and retirement plans. The firm employs a financial planning-led investment approach emphasizing low-cost indexing and buy-and-hold strategies, supported by a large advisory team and integrated investment infrastructure.

Private / alternative investments Tax-loss harvesting ESG / Sustainable investing Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Founder/Business Owner Executive Retired
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Patrick B

CFP®

Seattle, WA

Corient

Patrick Bevan is a CFP® professional with two years of industry experience, currently serving at Corient in Seattle, WA. His work history includes roles at Corient Services LLC, CWM, LLC, and Carson Wealth, preceded by four years each at Creighton University and Seattle Preparatory School. Corient provides investment advisory and financial planning services to a wide range of clients including individuals, high-net-worth clients, trusts, pension plans, charitable organizations, and corporations. The firm uses a goals-based, team investment approach with a combination of in-house strategies and third-party manager solutions, employing risk management tools and stress testing to align portfolios with client objectives.

Wealth management Private / alternative investments Tax-loss harvesting Active portfolio management
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Peter S

Series 66

Bellevue, WA

TIAA-CREF

Peter Stankovich is a financial advisor at TIAA-CREF in Bellevue, WA, with 21 years of industry experience. He holds a Series 66 designation and has been with TIAA-CREF since 2007. Outside of his advisory role, he is also the author of a book published on Amazon.com, which generates a small amount of passive income. TIAA-CREF provides financial planning and discretionary managed account programs primarily to individuals and entities with existing relationships through TIAA-administered employer retirement plans. The firm’s advisory model separates planning services from ongoing portfolio management and offers customized investment solutions alongside model portfolios.

General estate planning guidance Retirement plans for business owners (SEP, solo 401k) Educators, Teachers, and Academics Founder/Business Owner Approaching retirement Mid-Career Professionals
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Michelle S

CFP®, Series 65

Bellevue, WA

Focus Partners Wealth, LLC

Michelle Shook is a CFP® with three years of industry experience, currently serving as a financial advisor at Focus Partners Wealth, LLC. Prior to joining Focus Partners, she worked at Merriman Wealth Management and KeyBank. Her background includes roles in education and retail before entering the financial services industry. Focus Partners Wealth, LLC serves individuals, high-net-worth families, family offices, and institutional clients with a comprehensive range of wealth management and advisory services. The firm employs a long-term, tax- and fee-sensitive investment approach using a blend of active and passive strategies, third-party managers, and private funds.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Business sale tax planning Dentist Founder/Business Owner Executive Retired Established Professionals Approaching retirement Values-based investing
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Charles J

CFP®, Series 65

Seattle, WA

Focus Partners Wealth, LLC

Charles Jones is a CFP® and holds a Series 65 license with two years of industry experience. He is currently with Focus Partners Wealth, LLC and previously worked at Merriman Wealth Management, LLC. Jones also teaches asset management principles at the University of Washington as a paid grader and teaching assistant outside of his advisory role. Focus Partners Wealth, LLC serves individuals, high-net-worth families, family offices, and institutional clients with wealth management, financial planning, and advisory services. The firm employs a multi-strategy investment approach combining active and passive management, third-party accounts, and private funds within an enhanced open architecture framework.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Business sale tax planning Dentist Founder/Business Owner Executive Retired Established Professionals Approaching retirement Values-based investing
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