Large-firm financial advisors working with HENRYs (high earners, not rich yet) in Livermore, CA

Jack Perry is a Series 66-licensed financial advisor with Guardian Life and Park Avenue Securities, with three years of industry experience. He has worked at both firms since 2023 and has a background that includes roles at California Polytechnic State University, NorCal Staging, Las Positas College, and Livermore High School. Perry is involved with Health Professionals Insurance Services, providing dental students and graduates with discounted disability insurance through Guardian. Park Avenue Securities, a subsidiary of Guardian Life, offers brokerage and investment advisory services to individuals, corporations, retirement plan sponsors, and charitable organizations. The firm combines advisor-led discretionary management with model-based strategies and provides access to proprietary programs, third-party solutions, and a digital advisory platform.

Michael Peel is a financial advisor with Sowell Management in Livermore, CA, holding a Series 65 designation and beginning his advisory career in 2025. Prior to joining Sowell, he worked at the Sunnyvale Department of Public Safety and Tennyson Electric Inc. He is also the managing partner of Safe-Hold Storage, LLC, a company involved in public storage facilities and commercial real estate management. Sowell Management is a multi-team registered investment adviser serving individuals, retirement plans, corporations, and other RIAs. The firm utilizes a range of management styles and model portfolios while providing comprehensive support services to over 100 independent advisory representatives.

Richard Goldstein is a financial advisor at B. Riley Wealth Advisors, Inc. with 47 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at B. Riley Wealth Advisors since 2012, including a role at National Securities Corp from 2012 to 2022. Goldstein is involved in community activities such as serving on the investment committee of the Rotarian Foundation of Livermore and acting as a legacy leader with Ambassadors of Compassion. B. Riley Wealth Advisors, Inc. is an SEC-registered firm managing approximately $7.03 billion in assets for around 16,821 clients. The firm provides a wide range of services, including advisory programs, financial planning, and retirement solutions, serving individuals, high-net-worth clients, charitable organizations, corporations, and retirement plans.

Crystal Norris is a financial advisor at Cetera with 31 years of industry experience. She holds Series 63 and Series 65 licenses and has previously worked at Wells Fargo Clearing, Morgan Stanley, and Citigroup Global Markets. She is also the owner of Crystal Clear Wealth Management, a financial services firm. Cetera Investment Advisers LLC is an SEC-registered adviser that operates a multi-manager platform, serving individuals, retirement plans, corporate and charitable clients, and institutional accounts through a network of over 10,000 independent advisors. The firm offers a range of portfolio management and financial planning services with access to both affiliated and third-party money managers.

Darrell Szymanski is a financial advisor with Advisors Capital Management, LLC, holding Series 63 and Series 65 licenses and bringing 11 years of industry experience. He previously worked at The Pacific Financial Group, Inc. for 16 years before joining Advisors Capital Management in 2025. Advisors Capital Management serves a diverse client base, including individuals, employee benefit plans, and clients of unaffiliated broker-dealers and RIAs, providing discretionary portfolio management through customized private accounts, model strategies, and a self-directed brokerage solution for qualified retirement plans. The firm combines top-down macro analysis with bottom-up security selection across various asset classes and manages over $8 billion in discretionary assets, primarily acting as an outsourced sub-advisor.

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.

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.

Richard Martin is a financial advisor at Cetera with 29 years of industry experience. He holds a Series 63 designation and has a background that includes nearly three decades at Avantax Advisory Services and eight years at Avantax Insurance Agency. Outside of his advisory work, he is the owner and sole proprietor of Martin & Pellegrin, CPAs, a tax preparation and accounting firm. Cetera Investment Advisers LLC is an SEC-registered firm that serves a broad client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm provides a multi-manager platform offering discretionary and non-discretionary portfolio management, financial planning, and access to various program structures and third-party money managers.

Thomas Phillipsen is a Series 65 licensed advisor at Annex Wealth Management, LLC with experience beginning in 2024. His prior work includes roles at Associated Bank and JJ Keller & Associates, as well as experience at Ripon College. Annex Wealth Management is an SEC-registered advisory firm managing approximately $8.05 billion for about 9,800 clients, including high-net-worth individuals, pension plans, charitable organizations, and corporate entities. The firm utilizes a team-oriented investment process based on a core-and-tactical framework and offers comprehensive wealth management, discretionary portfolio management, retirement consulting, and online goals-based 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, previously serving at Axa Advisors and MSI Financial Services. Outside of advising, he is a co-chairman of a fundraising campaign for Alpha Light Fund Inc., a nonprofit focused on renovating the House of Alpha. Equitable Advisors serves a range of clients including individuals, pension plans, corporations, and charitable organizations, providing financial planning, retirement consulting, and asset management through a network of representatives and third-party managers. The firm offers various investment vehicles and ERISA fiduciary services, relying on third-party program sponsors and an affiliation with a publicly traded parent company.