Independent, general retirement planning financial advisors in Stockton, CA

Erica Taylor is a financial advisor with Merrill holding a Series 66 designation and three years of industry experience. Her prior roles include positions at Wells Fargo Bank and Uber Technologies. She is based in Stockton, CA. Merrill, along with its affiliate Managed Account Advisors LLC, provides managed account services to Bank of America fiduciary clients through the Select Portfolio Solutions Program. The firm serves individuals, high-net-worth clients, pension and profit-sharing plans, corporations, and charitable organizations with model-based and discretionary investment strategies.

Barbara Moore is a financial advisor with Ameriprise in Stockton, CA, holding a Series 63 license and with 34 years of industry experience. She has worked with Ameriprise Financial Service, LLC since 1992 and Ameriprise Financial Services, Inc. from 2005 to 2020. Outside of advising, she serves as Treasurer of the San Joaquin Zoological Society and is a Director and Secretary on the Board of Directors for Rialto Bridge Office Park. Ameriprise offers retirement-income planning services focused on clients approaching or in retirement, typically with substantial investable assets. The firm combines research, modeling, and tax-efficiency analysis to deliver tailored, non-discretionary recommendations through a centralized consulting team.

Tina Wells Lee is a CFP® professional with 30 years of experience in the financial services industry, currently affiliated with LPL Financial. Her prior experience includes roles at First Allied Advisory Services, Wells Fargo Clearing, and A. G. Edwards & Sons. LPL Financial is a national broker-dealer and SEC-registered investment adviser that provides a range of advisory and brokerage services to individuals, retirement plans, banks, trust companies, and institutions. The firm supports its network of advisors with model portfolios, third-party subadvisors, and technology tools, managing over $819 billion in discretionary assets.

James Diserio is a financial advisor at Equitable Advisors with 49 years of industry experience. He has been with Equitable Advisors since 1999 and previously worked at Axa Advisors, LLC for 21 years. His credentials include Series 63 and Series 65 licenses. Equitable Advisors serves individuals, pension and profit-sharing plans, corporations, charitable organizations, and institutional clients, offering financial planning, retirement plan consulting, and various asset-management programs through a network of Investment Adviser Representatives. The firm emphasizes personalized client assessments and utilizes third-party advisory programs alongside proprietary options.

Richard Cutler is a financial advisor with Transamerica Financial Advisors based in Stockton, CA. He holds Series 63 and Series 65 licenses and has 40 years of industry experience. His career includes roles at WealthWave, American Gateway Mortgage & Realty, and Champion Health, Inc., where he is involved in health insurance supplement services. Transamerica Financial Advisors serves a diverse client base, including individual investors, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporations. The firm offers a range of advisory and broker-dealer services, utilizing proprietary and third-party model portfolios with discretionary and non-discretionary program options.

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.

Amanda Scheele is a financial advisor with Raymond James & Associates in Ft. Wayne, Indiana, holding a Series 66 designation and 16 years of industry experience. Prior to joining Raymond James in 2024, she worked at Wells Fargo Clearing from 2016 to 2024 and is involved with Lucky Duck since 2025. Raymond James & Associates is a large, dually registered broker-dealer and SEC-registered investment adviser serving a diverse client base that includes individuals, institutions, and municipal entities. The firm offers financial planning and non-discretionary consulting services, drawing on various portfolio management styles and affiliated research.

Lori Fell is a Series 66 credentialed financial advisor with Edward Jones in East Lansing, MI, where she has worked since 2009, accumulating 17 years of industry experience. Outside of her advisory role, she is the owner of LAF Properties LLC, a business she maintains in East Lansing. Edward Jones is a full-service wealth management firm serving over four million individual and institutional clients. The firm offers a range of discretionary and non-discretionary investment solutions, including managed account strategies and affiliated mutual funds, and operates under a fiduciary standard.

Kenneth Blaschke is a financial advisor at HeadInvest in Portland, ME, holding Series 63 and Series 65 licenses with 16 years of industry experience. He has been with HeadInvest since 2009. HeadInvest serves a diverse range of clients, including individuals, trusts, endowments, and government entities, providing discretionary portfolio management and financial planning. The firm employs a holistic, asset-allocation driven approach, combining fixed-income selection with low-cost ETFs and emphasizing tax efficiency.

Michael Ipp is a financial advisor with Raymond James Financial, holding Series 63 and Series 65 designations and bringing 42 years of industry experience. He has been with Raymond James Financial Services Advisors since 2010 and serves as an independent contractor for 1792 Wealth Advisors. Raymond James Financial Services Advisors provides financial planning, investment consulting, and advisory services to a diverse client base, including individuals, high-net-worth clients, corporations, and institutional clients. The firm offers tailored, non-discretionary planning and uses analytical tools to support client decision-making, while also maintaining specialized programs such as municipal advisory services and SIMPLE IRA Employer Advisory & Consulting 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.