Top concentrated stock management financial advisors in Dubuque, IA

Brendan Houlihan is a financial advisor with Wells Fargo Clearing, holding a Series 66 designation and 18 years of industry experience. He has been with Wells Fargo Clearing since 2016. 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 manages approximately $671 billion in assets and offers both brokerage and advisory solutions, utilizing research from Wells Fargo Investment Institute and third-party sources.

Garret Locke is a financial advisor with LPL Financial based in Dubuque, IA, holding a Series 66 credential and nine years of industry experience. His prior roles include positions at CUNA Mutual Group, CUNA Brokerage Services, Inc., and Thrivent Financial. Outside of his advisory work, he has been a soccer referee since 1986. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of services including financial planning, model portfolio programs, third-party asset management, and institutional platforms, supporting advisors with a variety of investment options and technological tools.

Stefan Johnson is a financial advisor with OSAIC based in Dubuque, IA, holding Series 63 and Series 65 licenses and eight years of industry experience. His career includes roles at LPL Enterprise, Prudential Insurance Company of America, and Transamerica Financial Advisors. Outside of his advisory work, he is also involved in ministry as an itinerant preacher and teacher in various Midwestern churches. OSAIC serves a diverse client base that includes individual and high-net-worth investors, pension and profit-sharing plans, corporations, and charitable organizations. The firm employs a range of advisory platforms and tools to construct portfolios that incorporate multiple asset classes and offers both discretionary and non-discretionary account management.

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.

Ethan Siekkinen is a CFP® and holds a Series 65 license, currently serving as a financial advisor with Plante Moran Financial Advisors. He has one year of industry experience and has previously worked at J Wilson Wealth Management and operated Rizzo Lawn Care. Plante Moran Financial Advisors, LLC provides investment advisory, financial planning, and estate planning services to a diverse client base including individual households, institutional clients, and sovereign wealth funds. The firm employs a multi-disciplinary investment process and offers both discretionary and non-discretionary portfolio management, manager search, and tax-lot accounting services.

Stephen Harris is a financial advisor at Fisher Investments with a Series 65 designation and one year of industry experience. Prior to joining Fisher Investments in 2023, he worked for Fiba Basketball and East Stroudsburg University. Fisher Investments serves institutional and private clients worldwide, offering discretionary portfolio management across equity, fixed-income, and blended mandates. The firm utilizes a centralized investment process combining quantitative and qualitative research to construct diversified portfolios and provides sub-advisory and retirement plan services.

Jace Hart is a CFP® with nine years of industry experience and currently serves as a financial advisor at Rockwall Wealth Management. His prior experience includes roles at Leo Wealth, LPL Financial, and Fidelity Brokerage Services. Rockwall Wealth Management provides portfolio management, financial planning, and consulting services to individuals, trusts, plans, charitable organizations, and businesses. The firm emphasizes diversified, low-cost ETF model portfolios with a focus on tax efficiency, liquidity, and systematic macro tilts, offering both traditional and advanced investment strategies tailored to client objectives.

Barbara Brewer is a financial advisor at RBC Capital Markets with 20 years of industry experience. She holds a Series 66 designation and has been with RBC Capital Markets Corporation since 2008. RBC Wealth Management, a division of RBC Capital Markets, serves individual investors, institutional clients, pension and profit-sharing plans, corporations, and charitable organizations. The firm offers various advisory programs with discretionary and non-discretionary portfolio management, financial planning, custody, and brokerage services, tailoring strategies to clients’ Advisory Risk Profiles through a mix of in-house and third-party providers.

Chad Clay is the sole advisor at Glass City Capital Management, LLC in Maumee, OH, holding a Series 65 credential with seven years of industry experience. Before founding his firm in 2018, he worked as an investor and previously served for eleven years with the City of Springfield, Illinois Fire Department. His background includes experience as a firefighter and EMT. Glass City Capital Management is an independent, fee-only firm providing discretionary investment management focused on long-term capital appreciation for individuals and various entities. The firm emphasizes a concentrated, actively managed equity strategy built around a core “best ideas” approach, typically holding five to forty individual securities with a preference for large-cap companies.