Yi Min is a financial advisor with HSBC Securities (USA) Inc. based in New York, NY. He holds Series 63 and Series 66 licenses and has five years of industry experience. His previous roles include positions at Merrill, Bank of America N.A., and Citizens Securities, Inc. He also serves as a bank officer for HSBC Bank (USA) N.A., working concurrently with his advisory role. HSBC Securities (USA) Inc. provides managed account programs to individuals, retirement accounts, charitable organizations, and corporations, offering both client-directed and fully discretionary investment options. The firm utilizes a range of model risk profiles and integrates global asset management and due diligence resources to support its investment strategies.

Yong Sheng Chen is a financial advisor at Transamerica Financial Advisors with 29 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Transamerica Financial Advisors since 2012. Chen is also president of Elite Eagle Inc., a non-investment-related business, and is involved with Finger Lakes LLC as a hotel partner. Transamerica Financial Advisors serves a broad client base including individuals, pension plans, trusts, and corporations, offering advisory and broker-dealer services with a variety of proprietary and third-party investment models.

Robert Testa is a financial advisor with Commonwealth Financial Network, holding Series 63 and Series 65 licenses and bringing 36 years of industry experience. He previously worked at National Planning Corporation for 17 years and has been with Commonwealth and Paris International Corporation since 2017. Outside of his advisory role, he serves as a basketball evaluator for the East Coast Basketball Conference. Commonwealth Financial Network is a dual-registered broker/dealer and SEC-registered investment adviser serving a national network of approximately 2,900 affiliated advisors and managing about $213 billion in client assets. The firm offers a wide range of advisor support services, including discretionary and nondiscretionary managed-account programs, access to third-party asset managers, and custody and clearing services.

Paul Patrick is a financial advisor with First Manhattan Co. LLC in New York, NY, holding a Series 63 designation and 29 years of industry experience. He has been with First Manhattan Co. since 1999. First Manhattan Co. LLC provides discretionary and non-discretionary investment management and financial planning primarily for high-net-worth individuals, as well as trusts, pension and profit-sharing plans, charitable organizations, private investment vehicles, and institutional clients. The firm emphasizes long-term, research-driven, value-oriented management of equity and fixed-income portfolios tailored to client objectives, integrating wealth planning alongside portfolio management.

Morgan Newman is a CFP® and holds a Series 66 license with 14 years of industry experience. He has worked at Oppenheimer & Co. Inc. since 2020 and previously held positions at Morgan Stanley Private Bank and Morgan Stanley. Newman is a member of the Co-Lab, a networking organization unrelated to investment activities. Oppenheimer is a registered investment adviser and broker-dealer serving individuals, corporations, pension plans, and charitable organizations. The firm offers a range of investment programs and advisory services using both discretionary and non-discretionary approaches, with custody of client assets maintained as a qualified custodian.

Daniel Zhao is a financial advisor with Citigroup Global Markets, holding Series 63 and Series 65 designations and bringing 30 years of industry experience. He has worked at Citigroup Global Markets since 2013 and previously spent seven years at HSBC Securities (USA) Inc. Citigroup Global Markets serves individual and institutional clients across various wealth segments, offering multi-asset, multi-manager investment strategies through discretionary and non-discretionary programs. The firm combines large institutional scale with unique market roles, including in-house research, derivatives services, and bespoke solutions for very large client relationships.

Timothy Macherone is a financial advisor at Cerity Partners LLC with 20 years of industry experience. He holds a Series 66 designation and has previously worked at Shade Tree Advisors LLC and Goldman Sachs AYCO. Cerity Partners is an SEC-registered investment adviser serving a diverse client base including individuals, families, trusts, corporations, charitable institutions, and other institutional investors. The firm offers a range of services such as investment management, financial planning, tax and insurance support, and access to alternative and private-market investments, emphasizing diversified asset allocation and customized portfolios.

John Schafer is a financial advisor at Janney Montgomery Scott with 33 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Janney since 2009. Outside of his advisory role, he is a co-owner of WJ Realty LLC in Massapequa, NY. Janney Montgomery Scott 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, and institutional sponsors, offering a range of brokerage, financial planning, and advisory services supported by centralized asset management and custody capabilities.

Daniel Johnson is a financial advisor at Cerity Partners LLC in New York, NY, holding a Series 65 license with one year of industry experience. Prior to joining Cerity Partners, he worked at Preston Wealth Advisors and held multiple positions at Virginia Tech. Cerity Partners provides customized wealth management and related services to a broad national client base, including individuals, families, trusts, business entities, and institutional investors. The firm employs tailored asset allocation and manager selection strategies, combining proprietary quantitative screens with third-party managers and individual securities.

Joseph Lucien is a financial advisor with Janney Montgomery Scott in Garden City, NY. He holds Series 63 and Series 65 licenses and has 12 years of industry experience. Lucien has been with Janney Montgomery Scott and its related entities since 2013. 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 broad range of clients, including individuals, families, trusts, estates, and institutional sponsors, and provides a variety of brokerage, financial planning, and advisory services.

Willie Wheat is a financial advisor at TD Private Client Wealth LLC with 16 years of industry experience. He holds Series 63, Series 65, and Series 66 licenses. His prior experience includes roles at Charles Schwab & Co., Inc., Morgan Stanley, Bank of America, Merrill, and self-employment. He has been affiliated with TD Private Client Wealth LLC and TD Bank N.A. since 2024 and is based in New York, NY. TD Private Client Wealth LLC provides discretionary wrap-fee managed account programs and brokerage services to institutional clients, high-net-worth individuals, and retail clients. The firm utilizes a combination of strategic and tactical asset allocation with investments from affiliated and third-party sub-managers to construct portfolios.

Scott Stewart is a financial advisor at Rockefeller Financial LLC with 11 years of industry experience. He holds the Series 66 designation and previously worked at Stifel Nicolaus & Co Inc from 2016 to 2020. Rockefeller Financial LLC serves high-net-worth and ultra-high-net-worth individuals, families, family offices, institutional clients, retirement plans, foundations, and corporations. The firm offers discretionary and non-discretionary portfolio management, financial planning, and consulting, and operates as a registered broker-dealer providing a range of investment and placement services through its integrated platform.

Emilija Gaubaite is a financial advisor with Capital Group Private Client Services, Inc. in New York, NY. She holds a Series 65 designation and has seven years of industry experience. Prior to joining Capital Group, she worked at Family Management Corporation and Fiduciary Trust Company International. Capital Group Private Client Services provides discretionary investment management primarily to high-net-worth individuals and charitable organizations. The firm utilizes a multi-manager approach called the “Capital System,” emphasizing fundamental research and a long-term horizon across separately managed accounts, mutual funds, ETFs, and alternative investment vehicles.

Shareef Doumet is a financial advisor with Principal Financial Services, holding a Series 66 designation and 15 years of industry experience. He previously worked at Transamerica Investors Securities Corporation and Transamerica Retirement Solutions for six years. In addition to his advisory role, he serves as a bank/trust officer supporting retirement plan account relationships and assists with business development and consulting for a boutique interior design firm. Principal Securities provides brokerage and advisory services to a diverse client base, including individual investors, retirement plans, trusts, and charitable organizations. The firm offers financial planning, retirement consulting, and access to third-party money manager programs, with investment implementation generally handled on a discretionary basis by the TPMMs.

James Zhou is a financial advisor with Eagle Strategies (NY Life) holding Series 63 and Series 66 licenses and three years of industry experience. Prior to joining Eagle Strategies, he spent 22 years at Bloomberg LP. Eagle Strategies serves a diverse client base including individual investors, institutional plans, and charitable organizations, providing financial planning, investment management, and retirement-plan advisory services. The firm offers multiple advisory programs and emphasizes tailored recommendations, managing a significant portion of its assets on a non-discretionary basis.

Annette Costa is a financial advisor with TIAA-CREF, holding Series 63 and Series 66 licenses and bringing 27 years of industry experience. She has worked at TIAA-CREF since 2018 and previously spent five years with Merrill. TIAA‑CREF Individual & Institutional Services, LLC offers financial planning and discretionary managed account programs primarily to individuals connected with TIAA-administered employer retirement plans, as well as to trusts, estates, partnerships, and small retirement plans. The firm’s advisory model distinguishes between one-time planning services and ongoing discretionary management, utilizing model portfolios and customized strategies managed under client-approved investment guidelines.

Charles Catalanotto is a financial advisor with Citigroup Global Markets in New York, NY, holding Series 63 and Series 65 credentials and bringing 39 years of industry experience. His prior roles include positions at PNC Investments, HSBC Bank USA, HSBC Securities (USA) Inc., Banc of America Investment Services, Quick & Reilly, and Chase Investment Services Corp. Citigroup Global Markets serves individual and institutional clients across various wealth segments, offering multi-asset, multi-manager investment programs through discretionary and non-discretionary approaches. The firm combines large institutional scale with specialized market roles, including in-house research, swap dealing, and futures commission merchant activities.

Christine Eriksen is a financial advisor with TIAA-CREF in Melville, NY, holding Series 63 and Series 66 licenses and 16 years of industry experience. She has been with TIAA-CREF since 2015. TIAA-CREF Individual & Institutional Services, LLC’s Advice & Planning Services division offers financial planning and discretionary managed account programs to individuals, trusts, estates, partnerships, corporate entities, and small retirement plans, often serving clients connected through TIAA-administered employer retirement plans. The firm employs a fiduciary standard for its RIA services and provides both model portfolio and customized portfolio management options.

Patricia Kolb is a financial advisor at Gotham Asset Management, LLC with 28 years of industry experience. She holds the Series 63 and Series 65 designations and has been with Gotham Asset Management since 2009. Kolb also has experience at Foreside Fund Distributors LLC since 2014. Gotham Asset Management is an equity-focused investment manager serving primarily private funds, institutional managed accounts, mutual funds, ETFs, and high-net-worth clients. The firm employs a value-oriented, bottom-up fundamental research process to manage long/short and long-only equity strategies and oversees approximately $30 billion with a small senior investment team.

Sergiy Mizevych is a financial advisor at Citigroup Global Markets with 15 years of industry experience. He holds the Series 63 and Series 65 licenses and has been with Citigroup Global Markets since 2012. Citigroup Global Markets serves individual and institutional clients across various wealth segments, offering a range of investment advisory programs, broker-dealer execution, and custody services. The firm employs multi-asset, multi-manager strategies with in-house research and risk management capabilities, operating at a large institutional scale with specialized market roles.