Large-firm, business ownership considerations financial advisors in Dubuque, IA

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.

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.

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.

Douglas Koopmann is a financial advisor at Wealthcare Advisory Partners LLC with 23 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at Heacock & Jones Financial Services, Inc. for 14 years. Koopmann is also engaged in insurance sales, offering life, long-term care, disability, health insurance, and annuities. Wealthcare Advisory Partners LLC manages approximately $6.0 billion in client assets through a team of over 150 advisors. The firm serves individuals, trusts and estates, retirement plans, charitable organizations, and businesses, providing wealth management, financial planning, and access to alternative investment opportunities through a goals-based, evidence-driven advisory process.

Weston Vorwald is a Series 66-licensed financial advisor with Edward Jones, based in Dubuque, IA, and has 13 years of industry experience. He has been with Edward Jones since 2012. Edward Jones is a full-service wealth management firm serving more than four million individual and institutional clients. The firm manages approximately $1.01 trillion in assets and operates a large network of financial advisors and branch offices, offering a range of advisory strategies and affiliated investment products under a fiduciary standard.

Jeremy Roets is a financial advisor with Thrivent Investment Management in Minneapolis, MN, holding Series 63 and Series 66 designations. He has 12 years of industry experience, including over a decade with Thrivent Investment Management and fifteen years with Thrivent Financial for Lutherans. Thrivent Investment Management provides Dedicated Planning Services to individuals, families, businesses, and nonprofit clients, offering comprehensive written recommendations across various financial topics. The firm focuses on holistic, goal-based analyses and allows clients to integrate planning with managed-account programs, while maintaining separate services and avoiding discretionary trading authority for planning engagements.

Austin Norris is a financial advisor with Edward Jones in Oskaloosa, IA, holding Series 63 and Series 66 licenses and bringing 21 years of industry experience. He has been with Edward Jones since 2005. Outside of his advisory role, Norris has ownership interests in real estate and construction businesses, including a real-estate office building, farmland, and involvement in a construction project. Edward Jones is a full-service wealth management firm serving individual and institutional clients nationwide. The firm manages over $1 trillion in assets through a large network of advisors and offers a range of advisory programs, including discretionary wrap fee strategies, separately managed accounts, and affiliated mutual funds, operating under a fiduciary standard.

Erkki Peippo is a financial advisor with Concorde Asset Management, LLC in Ann Arbor, MI, holding Series 63 and 65 licenses and bringing 23 years of industry experience. His career includes 14 years at Sagepoint Financial INC and ongoing ownership of Erkki M. Peippo, CPA, P.C., where he provides tax and accounting services. Outside of his advisory role, he manages a family farm and works as an insurance agent. Concorde Asset Management serves individual, corporate, and retirement-plan clients by offering portfolio management, financial planning, and ERISA retirement-plan advisory services. The firm employs model-based and third-party strategies, managing asset allocation and discretionary trading to tailor portfolios according to client objectives and risk tolerances.

Daniel Memo is a Senior Financial Advisor at Merrill Lynch Wealth Management. He has been in the financial services industry since 1998 and began his career with Smith Barney. Daniel focuses on serving high net worth individuals and business retirement planning. He holds FINRA Series 7, 66, 3, and 31 registrations. Daniel earned a Bachelor of Science degree in Business Administration from John Carroll University. He also holds professional designations including Certified Plan Fiduciary Advisor (CPFA), Personal Investment Advisor (PIA), and Retirement Accredited Financial Advisor (RAFA). His areas of expertise include college education planning, corporate benefits, equity compensation services, retirement income, and small business strategies. Daniel is active in the Poland community where he resides with his wife, Erin, and their four sons. He participates in organizations such as the Poland Community Baseball Association, Poland Flag Football, and St. Vincent De Paul. He has served as a board member of the Rich Center for Autism and is affiliated with Magic of Michael. Outside of work, Daniel enjoys baseball, basketball, football, golfing, swimming, table tennis, traveling, and spending time with his family.

Julie Mcdaniel is a CFP® and Series 66 credentialed financial advisor with 17 years of industry experience. She has been with Impactfolio LLC since 2019 and previously worked at Sharkey, Howes & Javer Inc for six years. Based in Denver, CO, she is part of a three-advisor team at Impactfolio. Impactfolio LLC is a SEC-registered adviser serving individual and high-net-worth clients, trusts, and other entities, managing approximately $289 million across about 126 relationships. The firm employs a strategic asset-allocation model that integrates ESG factors with traditional financial analysis and offers discretionary investment management alongside comprehensive financial planning services.

Jeffrey Park is a financial advisor at Merrill with eight years of industry experience. He holds a Series 66 designation and has worked at Merrill and affiliated firms since 2011, including roles at JPMorgan Chase Bank and J.P. Morgan Securities. Outside of his advisory work, he is a sole owner and co-owner of family rental properties in Lawrenceville, Georgia. Merrill, together with its affiliate Managed Account Advisors LLC, provides managed account services to Bank of America fiduciary clients through the Select Portfolio Solutions Program, offering model-based and discretionary strategies for individuals, high-net-worth clients, and institutional investors.

Scott Mahoney is a financial advisor with Morgan Stanley in New York, NY, holding Series 63 and Series 65 credentials and bringing 34 years of industry experience. He has been with Morgan Stanley since 2009, including roles at Morgan Stanley Private Bank, N.A. Outside of his advisory work, he is involved with Giants Foot Cubed LLC. Morgan Stanley Wealth Management is a large SEC-registered investment adviser and broker-dealer that serves both individual and institutional clients. The firm offers a wide range of advisory programs and financial planning services supported by structured planning tools and broad investment resources.

Elizabeth Brown is a Series 66 licensed financial advisor with J.P. Morgan Securities in New York, NY, where she has worked since 2012. She has 26 years of industry experience. J.P. Morgan Securities provides institutional consulting services to clients such as corporations, foundations, and defined contribution plan sponsors, offering asset allocation advice, investment manager and fund searches, and customized performance reporting through a select group of Wealth Advisors. The firm combines large institutional advisory operations with brokerage, distribution, and investment management capabilities.

Wesley Pool is a financial advisor at Wells Fargo Clearing with 15 years of industry experience. He holds Series 63 and Series 66 licenses and previously worked at JPMorgan Securities LLC for seven years. Outside of finance, he has been involved with #TagMeBro LLC and Fry Street Public House. Wells Fargo Advisors is a national securities firm serving individual, corporate, and institutional clients with investment advisory services, financial planning, and retirement plan consulting. The firm manages approximately $671 billion in assets and offers both brokerage and advisory solutions.

Willie Myles is a financial advisor with Equitable Advisors in Cary, NC, holding Series 63 and Series 66 licenses and bringing 16 years of industry experience. He has worked at Equitable Advisors since 2016 and previously at AXA Advisors, LLC. Outside of his advisory work, he serves as co-chairman of a fundraising campaign for the nonprofit Alpha Light Fund Inc., focused on renovating the House of Alpha. Equitable Advisors serves a diverse client base including individual, high-net-worth, retirement plan, corporate, charitable, and institutional clients, offering financial planning, broker-dealer services, insurance distribution, and access to third-party asset management programs. The firm operates as both an SEC-registered investment adviser and broker-dealer, leveraging LPL-sponsored programs and endorsed TAMPs to deliver advisory and brokerage solutions.