Large-firm, retirement plans for business owners (SEP, solo 401k) financial advisors in Puerto Rico

Andrew Themis is a financial advisor at HSBC Securities (USA) Inc. with 16 years of industry experience. He holds a Series 66 designation and has worked at HSBC Bank USA, N.A. since 2016, HSBC Securities (USA) Inc. since 2014, and previously at Merrill from 2009 to 2014. HSBC Securities (USA) Inc. provides managed account programs to individuals, retirement accounts, charitable organizations, and corporations through various strategies, including client-directed and fully discretionary options. The firm uses a structured investment process with multiple risk profiles and combines strategic and tactical asset allocation in partnership with HSBC Global Asset Management and other affiliated providers.

David Rey is a financial advisor at Osaic Wealth, Inc. with 35 years of industry experience. He holds Series 63 and Series 65 credentials and spent 23 years with American Portfolios Financial Services before joining Osaic in 2024. Outside of his advisory role, he owns and operates several insurance and annuity businesses focused on life insurance and fixed annuities. Osaic Wealth serves a diverse client base including individuals, high-net-worth investors, corporations, and charitable organizations through a large network of affiliated advisers. The firm combines brokerage and advisory services with financial planning and managed-account solutions, utilizing asset-allocation tools and third-party platforms to construct portfolios across multiple asset classes.

Jerry Dempsey Jr. is a financial advisor at Cambridge Investment Research Advisors with Series 63 and Series 65 credentials and 30 years of industry experience. He has held leadership roles at Dempsey Financial Services, Inc. and DLS Financial, LLC, and is vice president of Rome Truck Parts & Repair, Inc. He also serves as president of AdvisorLynx, LLC, a technology services firm. Cambridge Investment Research Advisors serves a diverse client base with financial planning, investment management, retirement plan advisory, and financial wellness services delivered through a large network of independent professionals. The firm offers a range of investment solutions, including proprietary models and access to third-party strategists, with both discretionary and non-discretionary management tailored to client objectives.

Micah Wakefield is a financial advisor at TrueHaven Capital with 14 years of industry experience. He holds Series 63, Series 65, and Series 66 credentials. Prior to joining TrueHaven, he worked at Swan Wealth Advisors and Cetera Wealth Services. Wakefield is also the managing member of several affiliated special-purpose vehicles associated with TrueHaven. TrueHaven Capital serves high-net-worth individuals, pooled investment vehicles, corporations, and other registered investment advisers by providing discretionary and non-discretionary asset management, financial planning, retirement-plan consulting, family office services, and alternatives advisory. The firm employs fundamental and technical analysis in portfolio construction and offers customized solutions including separately managed accounts and a unique ETF conversion program.

Renato Estefano is a financial advisor at Jefferies Investment Advisers LLC with 19 years of industry experience. He has worked at Jefferies & Company, Inc. since 2012 and previously spent five years at Merrill. Estefano holds a Series 66 designation. Jefferies Investment Advisers LLC offers fee-based financial planning services to individuals, trusts, estates, foundations, charitable organizations, corporations, and other business entities. The firm employs a customized, collaborative planning process using third-party software and scenario analysis to support a broad range of planning topics.

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.

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.