Independent, options & derivatives strategies financial advisors in Waukesha, WI
The right financial advisor for you depends on how you weigh location, expertise, experience, the clients they typically serve, and how they work with you.
If you trade or invest using options or derivatives, you need an advisor who understands the complex risks and strategies involved. Without this expertise, you might face unexpected losses or miss opportunities to hedge your portfolio effectively. Independent advisors here operate without firm constraints, which can mean more flexible advice tailored to your unique situation.
- Risk management focus. Ask how they identify and control the specific risks that options and derivatives introduce to your portfolio.
- Strategy clarity. Confirm they explain complex option strategies in plain terms, so you understand potential outcomes before committing.
- Execution expertise. Inquire about their experience with timing and order types, which can significantly impact your trade results.
- Regulatory knowledge. Ensure they stay current on rules affecting derivatives trading, as compliance can affect your investment choices.
Here are top matches to get you started. Review each profile to compare experience, credentials, and approach.
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Peter G
Series 63, Series 65
Brookfield, WI
TCFG Investment Advisors, LLC
Peter Glowacki brings 42 years of experience and holds Series 63 and 65 licenses, specializing in options and derivatives strategies with a focus on active portfolio management and estate planning. Operating independently through TCFG Investment Advisors, he offers flexible flat-fee arrangements and serves a diverse clientele including high-net-worth individuals and organizations, distinguishing him from advisors with narrower client scopes or fee models.
Experience: 43 years
Avg account: $273,955
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James F
ChFC®, Series 63, Series 66
Pewaukee, WI
Regal Investment Advisors LLC
James Fischer brings 38 years of experience and holds ChFC®, Series 63, and Series 66 designations, specializing in options and derivatives strategies with active portfolio management. Operating independently through Regal Investment Advisors LLC, he offers flat-fee and AUM-based pricing, managing discretionary portfolios that include proprietary and third-party models, which may provide flexible and tailored risk management compared to other advisors in the Waukesha area.
Experience: 39 years
Avg account: $332,705
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David S
CFP®, Series 63, Series 65
Brookfield, WI
Annex Wealth Management, LLC
David Spano's 37 years of experience and CFP® certification equip him to manage complex options and derivatives strategies effectively, especially for high-net-worth clients in the Waukesha area. His firm, Annex Wealth Management, employs a core-and-tactical investment approach and offers flat-fee consulting starting at $1,000, providing flexible, team-supported wealth management services that distinguish him from other independent advisors nearby.
Experience: 38 years
Avg account: $1,117,200
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Michael H
Series 66
Brookfield, WI
Infinity Financial Services Advisory
Michael Hug specializes in options and derivatives strategies, bringing 19 years of industry experience and a Series 66 designation to clients in the Waukesha area. Operating independently through Infinity Financial Services Advisory, he offers hourly fee structures and serves a diverse client base including individuals and small businesses, providing tailored portfolio management and pension consulting with a focus on risk tolerance and strategic execution.
Experience: 20 years
Avg account: $261,020
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Thomas B
Series 63, Series 65
Waukesha, WI
Harbour Investments, Inc.
Thomas Bodin's 44 years of experience and expertise in options and derivatives strategies make him well-equipped to manage complex risk and strategy execution in Waukesha, WI. Operating independently with a flat-fee structure, he combines fundamental and technical analysis at Harbour Investments, offering tailored portfolio management and model-based solutions that differentiate him from other advisors in the area.
Experience: 44 years
Avg account: $309,963
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