Independent, retirement plans for business owners (SEP, solo 401k) financial advisors in Ithaca, NY

Linda Parks is a CFP® and Series 65 credentialed financial advisor with 12 years of industry experience. She has worked at Forum Financial Management, LP since 2022 and previously operated her own advisory firm, Linda Parks, Financial Advisor, LLC, for nine years. Parks is also a licensed CPA with over 26 years in that profession. Forum Financial Management, LP provides investment advisory and related services to individuals, retirement plan sponsors, charitable organizations, and institutional clients. The firm employs model asset-allocation portfolios based on Modern Portfolio Theory, utilizing institutional mutual funds, ETFs, and individual fixed income strategies, while also supporting independent advisors and RIAs through its turnkey asset management and back-office services.

Keith Baier is a CFP® professional with 25 years of experience in the financial services industry. He is currently an advisor at Moors & Cabot, Inc. and has previously worked at Wells Fargo Clearing and Morgan Stanley. Outside of his advisory role, Baier coaches women’s basketball and works as a basketball referee in Sidney, NY. Moors & Cabot serves a diverse client base including retail and high-net-worth individuals, corporations, pension plans, trusts, estates, and charitable organizations. The firm offers investment management, fee-based financial planning, and consulting services, with portfolios tailored to client objectives using strategies such as asset allocation and quantitative techniques.

Geoffrey Wright is a financial advisor with Lincoln Investment, holding a Series 63 designation and over 43 years of industry experience. He has been with Lincoln Investment Planning, Inc. since 1983 and previously worked with New York Life Insurance Company beginning in 1977. Outside of his advisory work, he is a minority owner in a small horse racing partnership. Lincoln Investment Planning, LLC is an enterprise firm serving a broad range of clients including individuals, high-net-worth investors, trusts, charities, and retirement plans, with a historical focus on educators and participants in 403(b) and 457(b) programs. The firm offers financial planning, portfolio management, and advisor-led consulting, supported by an in-house Investment Management & Research team that develops strategic model portfolios and employs third-party managers as needed.

Walter Hails Jr. is a financial advisor with SPC based in Ithaca, NY, holding Series 63 and Series 66 licenses and bringing 26 years of industry experience. His prior roles include positions at Parkland Securities, Sigma Financial Corporation, Morgan Stanley, Charles Schwab, and Invictus Wealth Management. He serves as a board member for The RHO Foundation and as vice president of the Sigma Pi Phi/Zeta Zeta Boule chapter in Syracuse, NY. SPC serves a diverse client base including high-net-worth individuals, charitable organizations, corporations, and retirement plans. The firm offers portfolio management, financial planning, and ERISA-related retirement plan services, delivering both discretionary and nondiscretionary strategies supported by a network of over 460 advisers and approximately $5.66 billion in assets under management.

Guillermo Rossi is a financial advisor with Bolton Securities Corporation, holding a Series 63 designation and 16 years of industry experience. He has worked at UBS Financial Services Inc. for 12 years before joining Bolton Global Asset Management and Bolton Global Capital in 2023. Outside of his advisory role, he is the owner and managing director of NY Capital Markets LLC and also manages Martik LLC, both entities related to securities and investment advisory services. Bolton Global Asset Management provides discretionary and non-discretionary asset management and financial planning services to a diverse client base, including individuals, high-net-worth investors, charitable organizations, corporations, retirement plans, and banks. The firm employs an IAR-driven approach that customizes portfolios using mutual funds, ETFs, equities, and fixed-income securities, with a generally long-term orientation and tactical flexibility.

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.

Hassan Al Kadhimi is a financial advisor with LPL Financial, holding Series 63 and Series 65 licenses and two years of industry experience. His prior roles include positions at J.P. Morgan Securities LLC and JP Morgan Chase Bank, N.A. He is also involved with NIHFCU Wealth Advisors, a related business entity. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of advisory and brokerage services, including financial planning, model portfolio programs, and institutional platforms, supported by a large network of investment adviser representatives.

Elanna Gould is a CFP® professional with six years of experience, currently advising at Cambridge Investment Research Advisors in Cleveland, OH. Her background includes roles at PepsiCo and The Cleveland Clinic Lerner Research Center, as well as academic experience at The Ohio State University. She is also an independent insurance agent for various companies. Cambridge Investment Research Advisors serves a broad client base, including individuals, retirement plans, and charitable organizations, offering financial planning, investment management, and retirement advisory services through a network of independent professionals. The firm provides a range of portfolio management options, proprietary and third-party strategies, and various custody platforms tailored to client objectives.

Thomas Trefzger is a Series 66-credentialed financial advisor with eight years of industry experience. He has worked at Hantz Financial Services, Inc. since 2018 and previously held roles at Sprint and Cleveland State University. Hantz Financial Services, Inc. serves a diverse client base including individuals, high-net-worth households, pension and profit-sharing plans, and business owners. The firm offers financial planning and wealth management primarily through ETF-based model portfolios across five risk levels, supplemented by third-party managers and Direct Indexing, and combines advisory, broker-dealer, mortgage, and insurance activities under one platform.

Taylor Reed is a financial advisor at Oppenheimer with 25 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at NYLIFE Securities LLC, New York Life Insurance Co, and Atlas Capital Advisors LLC. Oppenheimer is a registered investment adviser and broker-dealer serving individuals, corporations, pension and profit-sharing plans, charitable organizations, and pooled investment vehicles. The firm offers a range of programs including asset management, consulting, and retirement services, managing both discretionary and non-discretionary accounts across diverse portfolio strategies.

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.