Seasoned, SRI/ESG (Socially Responsible Investing/Environmental, Social and Corporate Governance) financial advisors in Santa Clara, CA

Steven Duffy is a financial advisor at Edward Jones with 33 years of industry experience. He has been with Edward Jones since 1992 and holds Series 63 and Series 66 designations. Outside of his advisory role, he serves on the Lay Pension Board, Investment Committee, and Finance Council for the Diocese of San Jose, overseeing and reviewing the management of their investment pool. Edward Jones is a full-service wealth management firm serving over four million individual and institutional clients, including pension plans, corporate clients, and charitable organizations. The firm operates a nationwide network of more than 23,700 financial advisors and offers a range of advisory programs, tax-efficient services, and affiliated investment products under a fiduciary standard.

Hongze Chen is a CFP® professional with 28 years of experience in the financial services industry. He has worked at MassMutual Investors Services since 2017 and has been affiliated with MassMutual Life Insurance Company since 2016. Prior to that, he spent 18 years at Metlife Securities Inc. MassMutual Investors Services, LLC is a broker-dealer and SEC-registered investment adviser that serves individuals, business owners, trusts, estates, charitable organizations, and employers. The firm provides financial planning, asset management, and educational seminars, with planning engagements structured as annual collaborative relationships using firm-approved analytical tools.

Syed Ali is a financial advisor at J.P. Morgan Securities with seven years of industry experience. He holds a Series 66 designation and has worked at JPMorgan Chase Bank, N.A., J.P. Morgan Securities, Wells Fargo Clearing Services LLC, and Wells Fargo Bank NA. J.P. Morgan Securities LLC provides institutional consulting services to clients such as corporations, foundations, and defined contribution plan sponsors, offering asset allocation advice, investment manager searches, and customized performance reporting through a team of Wealth Advisors. The firm combines institutional advisory operations with brokerage, distribution, and investment management capabilities.

Dan Wang is a financial advisor at Transamerica Financial Advisors with 28 years of industry experience. He holds Series 63 and Series 65 licenses and has held roles at several firms, including Dream Builder Financial and Silicon Valley Enterprise, where he serves as treasurer. Wang is also involved in insurance product sales affiliated with his primary firm. Transamerica Financial Advisors serves a diverse client base, including individual investors, pension plans, trusts, and corporations. The firm offers advisory and broker-dealer services with proprietary and third-party model portfolios, providing discretionary and non-discretionary investment options.

Hanyu Zhao is a CFP®-certified financial advisor with 10 years of industry experience. He is currently affiliated with Charles Schwab in Santa Clara, CA, where he has worked since 2016 across various Schwab entities. Prior to that, he was employed by JP Morgan Chase Bank and JP Morgan Securities from 2019 to 2022. Charles Schwab & Co., Inc. serves primarily high- and ultra-high-net-worth individuals through its Schwab Wealth Advisory wrap fee program and affiliated managed-account and financial planning services. The firm offers a combination of non-discretionary investment guidance and access to discretionary separately managed accounts, supported by multi-asset model portfolios and centralized operational resources.

Tucker Horsley is a CFP® and Series 65-registered advisor with three years of industry experience. He currently works at Mariner in Sarasota, FL, where he has been since 2021. Horsley previously served as an advisor at Allegiant Private Advisors and was involved with Lucky-U Cycles for five years. He is a board member of the nonprofit Take Stock in Children of Sarasota County. Mariner serves a diverse client base with services including investment management, financial planning, retirement plan consulting, and coordinated tax services. The firm offers customized, discretionary portfolios supported by an internal team and third-party managers, along with specialized tax, accounting, and family office services.

David Cereghino is a Senior Financial Advisor with Merrill Lynch Wealth Management. He began his career in financial services in 1996 and has over 30 years of experience in private client wealth management. David earned his B.S. in Finance from the University of San Francisco and early in his career built a practice in San Francisco advising Silicon Valley executives on strategies for managing concentrated equity positions. Since 2009, he has been based in Merrill's Walnut Creek office, serving high-net-worth families and business owners. David specializes in developing customized wealth strategies aligned with client goals, emphasizing cash flow planning, risk mitigation, and tax reduction. He leverages the resources of Merrill and Bank of America to provide integrated solutions across investment management, banking, lending, insurance, and estate planning. His client focus areas include family wealth management, legacy planning, socially responsible investing, and tax minimization. David holds the Professional Investment Advisor (PIA) and Sports & Entertainment Accredited Wealth Management Advisor (SE-AWMA) designations. He and his wife, Shannon, reside in Moraga, California. David previously coached his children's sports teams and now enjoys traveling and attending family sporting events, including supporting his son who plays Division I football at UCLA. He is also interested in basketball, boating, football, hiking, music, and surfing.

Kimberly Taylor is a financial advisor at The Wealth Consulting Group with four years of industry experience. She holds a Series 66 designation and has teaching roles at the University of New Mexico and Rice University. Additionally, she is president of The Kimberly Corp, which offers workshops on better communication. The Wealth Consulting Group provides fee-based wealth management, portfolio management, financial planning, and retirement-plan advisory services to a diverse client base, including individuals, corporations, charities, trusts, and estates. The firm employs a tailored investment process that integrates fundamental, technical, macroeconomic, and quantitative analysis across multiple platforms and offers fiduciary services as well as legal-service integration through advisor-attorneys and third-party referrals.

Sarah Fitzgerald is a CFP® and Series 65-registered advisor with Northfork Advisors in Bozeman, MT, bringing four years of industry experience. She joined NorthFork Financial LLC in 2019, became a Partner and Advisor in 2022, and also has experience with 45North Partners LLC and Mofi. In addition to her advisory role, she oversees the day-to-day operations at NorthFork Financial. NorthFork Advisors provides investment management and comprehensive financial planning for individuals, families, foundations, trusts, nonprofits, and businesses. The firm focuses on long-term asset allocation and diversification, integrating ESG criteria and active shareholder engagement, and operates as a Certified B Corporation with a fee-only fiduciary structure.

Phillip Hohn is a Senior Financial Advisor with Merrill Lynch Wealth Management. He leads the Hohn Group, which provides customized, objective guidance to clients with a focus on creating personalized wealth management strategies that prioritize risk-averse investment portfolios and streamlined financing options. The group serves technology executives, high-net-worth individuals, and small business owners across 16 states. Phillip offers expertise in areas such as portfolio management, retirement planning, education and estate planning, concentrated stock exit strategies, and corporate retirement plan asset management. With over four decades of industry experience, Phillip and his team emphasize a holistic and individualized approach to wealth management, tailoring strategies to each client's unique goals, time horizon, and risk tolerance. The group extensively supports clients with stock option and Employee Stock Plan Services, particularly assisting Silicon Valley technology executives since 1998. Phillip holds professional designations including CERTIFIED PLAN FIDUCIARY ADVISOR (CPFA), Personal Investment Advisor (PIA), and Retirement Accredited Financial Advisor (RAFA). Phillip earned his High School Diploma/GED from Chabot College. He is bilingual in Persian and English. Outside of his professional focus, Phillip engages in community volunteer work and enjoys personal interests such as biking, boating, camping, fishing, hiking, reading, woodworking, traveling, spending time with family, and watching movies.

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.

David Cade is a financial advisor with LPL Financial based in Houston, TX. He holds Series 63 and Series 65 licenses and has 42 years of industry experience. Prior to joining LPL Financial in 2025, he worked at Next Financial Group, Inc. for 20 years and Raymond James Financial Services, Inc. for six years. LPL Financial is a national broker-dealer and SEC-registered investment adviser that provides advisory and brokerage services to individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of financial planning and portfolio management solutions, integrating proprietary research and third-party strategies.

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.

Linda Postorivo is a financial advisor at BC Advisors, LLC with 43 years of industry experience. She holds a Series 63 designation and has worked with MAFG RIA Services, Inc. since 1994 and with Mid-Atlantic Companies since 1981. BC Advisors provides investment advisory and portfolio management services primarily to high-net-worth individuals, family trusts, pension and profit-sharing plans, and other institutional clients. The firm emphasizes non-discretionary investment recommendations grounded in fundamental analysis alongside technical and cyclical reviews, employing a variety of strategies including long-term, short-term, trading, options, and alternatives.