Independent, options & derivatives strategies 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.

Edwina Martin is a Series 65 licensed financial advisor with two years of industry experience, currently with Waverly Advisors, LLC. She previously worked at 9258 Wealth Management for five years and was employed at Teradata Corp for eleven years. Martin also serves as assistant director of tax planning at 9258 Tax and Planning, a non-investment related business. Waverly Advisors is a multi-team registered investment adviser managing portfolios for individuals, retirement plans, and pooled investment vehicles. The firm combines traditional equity and fixed-income strategies with alternative and private-market allocations, offering a range of investment management and financial planning services.

Craig Mcdaniel Jr. is a financial advisor with Capital Investment Advisory Services, LLC in Columbia, SC. He holds Series 63 and Series 65 licenses and has 13 years of industry experience. He has been with Capital Investment Group, Inc. and The McDaniel Corporation since 2012. Outside of his advisory role, he is involved in life insurance sales and serves as an independent agent for annuities and related products. Capital Investment Advisory Services, LLC provides investment advisory and supervisory services to individuals, retirement plans, corporations, trusts, estates, and charitable organizations. The firm offers customized investment management through discretionary mandates, third-party managers, and private-label model portfolios, using a blend of analytical methods with ongoing portfolio monitoring.

Alan Toman is a financial advisor with Regal Investment Advisors LLC in Los Angeles, CA, holding Series 63 and Series 65 licenses and having nine years of industry experience. He has worked at Regal Investment Advisors since 2018 and has prior experience with Lincoln Financial Securities Corporation and Bankers Life. Outside of his advisory role, Toman is active in the insurance sector, offering accident and health insurance, fixed and indexed annuities, and traditional life insurance products through American Senior Benefits and as an insurance agent. Regal Investment Advisors LLC provides discretionary investment management services to independent advisers and other registered advisers, serving a diverse client base including individuals, charitable organizations, and businesses. The firm offers proprietary and third-party model portfolios across various asset classes, with advisers selecting allocations and granting Regal authority to implement and manage strategies.

Ethan Siekkinen is a CFP® and holds a Series 65 license with Plante Moran Financial Advisors. He has one year of industry experience and previously worked at J Wilson Wealth Management. Outside of financial advising, he has experience in the lawn care business with Rizzo Lawn Care. Plante Moran Financial Advisors serves a diverse client base including individuals, institutions, trusts, estates, and charitable organizations. The firm provides investment advisory, financial planning, and estate-planning services, utilizing a range of investment strategies and managing both discretionary and non-discretionary assets.

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.

Jared Fruth is a financial advisor at Northwest Asset Management with four years of industry experience. He holds a Series 65 designation and previously worked at Securities America, Inc., KMS Financial Services, Inc., Oppenheimer Funds, and John Paul Mitchell Systems. Northwest Asset Management is a registered investment adviser managing approximately $3.6 billion for nearly 3,000 clients, including individuals, pension and profit-sharing plans, charities, and corporations. The firm employs a customized, fiduciary approach using Modern Portfolio Theory and strategic asset allocation, combining fundamental and technical analysis to build diversified portfolios with periodic rebalancing.

Edwina Martin is a Series 65 licensed financial advisor with two years of industry experience, currently with Waverly Advisors, LLC. She previously worked at 9258 Wealth Management for five years and was employed at Teradata Corp for eleven years. Martin also serves as assistant director of tax planning at 9258 Tax and Planning, a non-investment related business. Waverly Advisors is a multi-team registered investment adviser managing portfolios for individuals, retirement plans, and pooled investment vehicles. The firm combines traditional equity and fixed-income strategies with alternative and private-market allocations, offering a range of investment management and financial planning services.

Craig Mcdaniel Jr. is a financial advisor with Capital Investment Advisory Services, LLC in Columbia, SC. He holds Series 63 and Series 65 licenses and has 13 years of industry experience. He has been with Capital Investment Group, Inc. and The McDaniel Corporation since 2012. Outside of his advisory role, he is involved in life insurance sales and serves as an independent agent for annuities and related products. Capital Investment Advisory Services, LLC provides investment advisory and supervisory services to individuals, retirement plans, corporations, trusts, estates, and charitable organizations. The firm offers customized investment management through discretionary mandates, third-party managers, and private-label model portfolios, using a blend of analytical methods with ongoing portfolio monitoring.

David Hart is a financial advisor with Martin Wealth Management, LLC in Irvine, CA. He holds a Series 65 credential and has 15 years of industry experience. Hart previously worked with Safeguard Investment Advisory Group and LifePro Asset Management. He is also a Certified Financial Fiduciary and volunteers as an instructor with the Foundation for Fiduciary Education, providing unbiased fiduciary financial education to the public. Martin Wealth Management offers investment advisory services primarily to individuals and high-net-worth clients by co-advising and directing accounts to a third-party money manager, Matson Money. The firm focuses on client onboarding, documentation, and ongoing review of third-party manager accounts rather than direct asset management.

Sarah Currier Barrella is a CFP® professional with 26 years of experience in financial advisory services. She currently works at Santander Securities LLC and Santander Bank, NA, having previously held positions at TD Bank and Citizens Securities, Inc. Barrella is based in Boston, MA. Santander Securities LLC serves a broad retail client base with approximately $3.14 billion in regulatory assets under management across 10,800 client relationships. The firm offers investment advisory services, portfolio management through wrap-fee programs, and financial planning, operating both as a registered investment adviser and a FINRA-registered broker-dealer.