The FT 400 Top Financial Advisers
Loren Fox
Roula Khalaf, Editor of the FT, selects her favourite stories in this weekly newsletter.
The Financial Times 400 (see full listing below) is intended to provide a snapshot of the best financial advisers for the investors who use them. We assess advisers based on what investors care about and we use a quantifiable, objective methodology.
The Financial Times and Ignites Research, the FT’s sister company, contacted the largest US brokerages in autumn 2018 to obtain practice information and data for their top advisers across the US.
We asked for information on advisers with more than 10 years’ experience and that had $300m or more in assets under management. Such minimum criteria filtered out most advisers.
The FT then invited qualifying advisers out of this group — a list that totalled about 940 — to complete a short questionnaire that gave us more information about their practices.
We added that information to our own research on the candidates, including data from regulatory filings. The formula the FT uses to grade advisers is based on six broad factors and calculates a numeric score for each adviser. These factors are:
1. Assets under management can signal experience managing money and client trust.
2. AUM growth rate can be taken as a proxy for performance, asset retention and ability to generate new business.
3. Years of experience indicates experience managing assets in different economic and interest-rate environments.
4. Compliance record provides evidence of past client disputes. A string of complaints could signal problems.
5. Industry certifications (CFA, CFP, etc) demonstrate technical and industry knowledge and obtaining these designations shows a professional commitment to investment skills.
6. Online accessibility illustrates commitment to providing investors with easy access and transparent contact information.
Assets under management accounted for an average of 72 per cent of each adviser’s score. Also, AUM growth rate accounted for an average of 14 per cent. This year, to emphasise long-term client satisfaction, we used a three-year growth rate instead of the one- and two-year growth rates we used in the past.
Additionally, the FT places a cap on the number of advisers from any one state that roughly corresponds to the distribution of millionaires across the US.
We present the FT 400 as an elite group, not a competitive ranking. We acknowledge that ranking the industry’s top advisers from 1 to 400 would be a futile exercise, since each takes different approaches to their practice and has different specialisations.
The research was conducted on behalf of the Financial Times by Ignites Research, a Financial Times sister publication.
Please note, individual advisers’ coverage of client categories is indicated below by “X” marks in columns for particular segments served: retail; high net worth (clients for $1m-£10m in investable assets); ultra high net worth (clients with $10m or more in investable assets); and institutional
Name | Company | City | Retail (<$1m) | High Net Worth ($1m - $10m) | Ultra-High Net Worth (>$10m) | Institutional |
---|---|---|---|---|---|---|
ALABAMA | ||||||
Roberts, Jeff | Ameriprise Financial Services, Inc. | Birmingham | X | X | X | X |
ARIZONA | ||||||
Harnden, Stephen P. | Ameriprise Financial Services, Inc. | Peoria | X | X | X | X |
Kraus, Arnold H. | Wells Fargo Advisors | Tucson | X | X | X | |
Schultz, Steven L. | UBS Financial Services Inc. | Phoenix | X | X | X | X |
Tocco, Judith A. | Tocco Financial Services / LPL Financial | Tucson | X | X | ||
CALIFORNIA | ||||||
Abrams, Michael L. | Wells Fargo Advisors | Palo Alto | X | X | ||
Allard, Michael D. | CalBay Investments, Inc. / LPL Financial | Danville | X | X | X | |
Arbogast, Peter V. | Merrill Private Wealth Management | San Francisco | X | |||
Bartman, Brett H. | RBC Wealth Management | Beverly Hills | X | X | X | |
Basch, Andrew | Morgan Stanley Private Wealth Management | Los Angeles | X | X | X | |
Blanchfield, Tom | Merrill Private Wealth Management | Newport Beach | X | |||
Burbank, Mike | Morgan Stanley Private Wealth Management | San Francisco | X | |||
Campbell, Gwendolyn M. | Merrill Private Wealth Management | San Francisco | X | |||
Chase, Andy | Morgan Stanley Private Wealth Management | Menlo Park | X | X | X | |
Chen, Catherine R. | RBC Wealth Management | San Francisco | X | X | X | |
Chiate, Craig S. | UBS Financial Services Inc. | Los Angeles | X | X | ||
Choi, Horacio A. | Wells Fargo Advisors | Irvine | X | X | X | |
Chopra, Ash | Merrill Private Wealth Management | San Francisco | X | |||
Corradini, Drew | J.P. Morgan Securities | San Francisco | X | X | X | |
Curtis, Mark T. | Morgan Stanley Graystone | Palo Alto | X | X | X | |
Detanna, Lisa A. | Raymond James & Associates | Beverly Hills | X | X | X | X |
Douglass, Mark | Morgan Stanley Private Wealth Management | Menlo Park | X | X | ||
Evans, Chad | Morgan Stanley Wealth Management | Newport Beach | X | X | X | |
Firring, Brian | Wells Fargo Advisors | Beverly Hills | X | |||
Fournier, Gary | J.P. Morgan Securities | Los Angeles | X | X | X | X |
Freides, Drew S. | UBS Financial Services Inc. | Los Angeles | X | X | X | |
Fullmer, Greg | Morgan Stanley Private Wealth Management | Los Angeles | X | X | X | |
Genovese, Michael T. | Genovese Burford & Brothers | Sacramento | X | X | X | X |
Gensler, Daniel G. | The Gensler Group / LPL Financial | Coronado | X | X | ||
Goldstein, Adam S. | Ameriprise Financial Services, Inc. | Calabasas | X | X | X | |
Griepp, Troy | Morgan Stanley Private Wealth Management | San Francisco | X | X | X | |
Guimarin, Alma | Morgan Stanley Wealth Management | San Jose | X | X | X | |
Harries, Scott | UBS Financial Services Inc. | Los Angeles | X | X | ||
Jackson IV, Dana | Morgan Stanley Graystone | Menlo Park | X | X | X | |
Jones, Richard B. | Merrill Private Wealth Management | Century City | X | X | ||
Jorgensen, Debbie | Merrill Lynch Wealth Management | San Francisco | X | X | X | |
Kelly, Inna | Morgan Stanley Wealth Management | San Francisco | X | X | X | |
Klein, Jerome | Merrill Private Wealth Management | Century City | X | X | ||
La Pointe, David B. | La Pointe Wealth Management / LPL Financial | Temecula | X | X | X | X |
Lee, Grant | Morgan Stanley Private Wealth Management | San Francisco | X | X | ||
Malone III, Francis X. | Morgan Stanley Private Wealth Management | Los Angeles | X | X | ||
McClellan, Ryan A. | UBS Financial Services Inc. | Los Angeles | X | X | X | |
McDonald, Karen | Morgan Stanley Wealth Management | Palo Alto | X | X | X | X |
McKelvy, Dorian | Morgan Stanley Wealth Management | Menlo Park | X | X | X | X |
Milia, John | Wells Fargo Advisors | Irvine | X | X | X | |
Minkoff, Steven M. | Ameriprise Financial Services, Inc. | San Francisco | X | X | X | X |
Morgan, Mark S. | Morgan Stanley Wealth Management | Folsom | X | X | X | |
Neuhaus, Jon | Morgan Stanley Private Wealth Management | Los Angeles | X | X | ||
Onken, Greg | J.P. Morgan Securities | San Francisco | X | X | X | |
Papadoyannis, George | Ameriprise Financial Services, Inc. | San Mateo | X | X | X | X |
Pfefferman, Darren A. | Morgan Stanley Private Wealth Management | San Diego | X | X | X | |
Piliero, Thomas | Morgan Stanley Private Wealth Management | San Francisco | X | X | ||
Reilly, Sean M. | Merrill Lynch Wealth Management | San Francisco | X | X | ||
Schulten, Mark | The Schulten Group | Long Beach | X | X | X | X |
Schwarz, Donald L. | RBC Wealth Management | Beverly Hills | X | X | X | X |
Selig, Steven P. | Merrill Lynch Wealth Management | Los Angeles | X | X | X | X |
Smith, Lawrence E. | UBS Financial Services Inc. | Brea | X | X | X | X |
Spinner, Harlan B. | UBS Financial Services Inc. | Los Angeles | X | X | ||
Traum, Jeffrey D. | Morgan Stanley Private Wealth Management | Menlo Park | X | X | X | |
Van Dyck, Thomas | RBC Wealth Management | San Francisco | X | X | X | |
Vaughan, Gregory V. | Morgan Stanley Private Wealth Management | Menlo Park | X | X | ||
Wacker, Roger | UBS Financial Services Inc. | Los Angeles | X | X | X | |
Walsh, Daniel T. | Merrill Lynch Wealth Management | Palo Alto | X | X | ||
Walters, Jordan | Morgan Stanley Wealth Management | San Jose | X | X | X | X |
Walters, Philip S. | Wells Fargo Advisors | Beverly Hills | X | X | X | |
Waxman, Scott | Morgan Stanley Private Wealth Management | San Francisco | X | X | X | |
Whitman, Alan B. | Morgan Stanley Wealth Management | Pasadena | X | X | X | X |
Wong, Benjamin W. | Viewpoint Financial Network | Pleasanton | X | X | X | |
Young, Cheryl L. | Morgan Stanley Wealth Management | Los Gatos | X | X | X | |
Yu, Gillian | Morgan Stanley Private Wealth Management | San Francisco | X | |||
Yu, Sean | Morgan Stanley Private Wealth Management | Pasadena | X | X | X | X |
Zafari, Reza | Merrill Private Wealth Management | Los Angeles | X | X | ||
Zanolli, Stephen M. | Merrill Lynch Wealth Management | Palo Alto | X | X | ||
COLORADO | ||||||
Sparks, Scott G. | Northwestern Mutual - Sparks Financial | Denver | X | X | ||
CONNECTICUT | ||||||
Cerniglia, Jason | Ameriprise Financial Services, Inc. | Mystic | X | X | X | |
Chieco, Peter | Morgan Stanley Wealth Management | Greenwich | X | X | X | |
Cox, Joe M. | Webster Wealth Advisors | Stamford | X | X | ||
Daoud, Nancy S. | Ameriprise Financial Services, Inc. | Oxford | X | X | X | X |
Dolgins, Ivan | Merrill Lynch Wealth Management | Stamford | X | X | X | X |
Fagella, Tony | Alex. Brown/Raymond James | Greenwich | X | X | ||
Goodwin, Richard T. | Merrill Lynch Wealth Management | Madison | X | X | X | |
Gottfried, Joshua | Gottfried & Somberg Wealth Management, LLC | Glastonbury | X | X | ||
Gourd, William C. | UBS Financial Services Inc. | Stamford | X | X | X | |
Jacobsen, Teresa A. | UBS Financial Services Inc. | Stamford | X | X | ||
Jones, Mark R. | Ameriprise Financial Services, Inc. | Middlebury | X | X | X | X |
Mantione, Thomas | UBS Financial Services Inc. | Stamford | X | |||
Segal, Jeffrey | C.I.G. Private Wealth Management, LLC | Glastonbury | X | X | X | X |
Somberg, Matthew | Gottfried & Somberg Wealth Management, LLC | Glastonbury | X | X | X | X |
Thompson, Derek J. | UBS Financial Services Inc. | Stamford | X | X | X | |
Wunder, Matthew S. | Northwestern Mutual - Wunder Financial | Westport | X | X | X | X |
DELAWARE | ||||||
Orth, Kimberlee M. | Ameriprise Financial Services, Inc. | Wilmington | X | X | X | X |
DISTRICT OF COLUMBIA | ||||||
Carter, Murray | Janney Montgomery Scott | Washington | X | X | X | X |
Harris, Richard | Alex. Brown/Raymond James | Washington | X | X | X | |
Kingsley, Todd | Alex. Brown/Raymond James | Washington | X | X | X | X |
Nelson, Wayne F. | Merrill Lynch Wealth Management | Washington | X | X | X | X |
New, James M. | UBS Financial Services Inc. | Washington | X | X | X | |
Shreves III, Frederick (Tripp) | The Monument Group at Wells Fargo Advisors | Washington | X | X | X | X |
Wernick, Seth | Alex. Brown/Raymond James | Washington | X | X | X | |
FLORIDA | ||||||
Aitken, Christopher C. | UBS Financial Services Inc. | Ponte Vedra Beach | X | X | ||
Aspinwall, Sam | Raymond James & Associates | St. Petersburg | X | X | X | |
Barcena, Ignacio A. | Wells Fargo Advisors | Miami | X | X | X | |
Bermont, Peter L. | The Bermont Advisory Group of Raymond James | Coral Gables | X | X | X | |
Bober, Michael | UBS Financial Services Inc. | Boca Raton | X | X | X | |
Cabrera, Jose | Raymond James & Associates | Coral Gables | X | X | X | X |
Comeau, Richard A. | J.P. Morgan Securities | Miami | X | X | ||
Dwyer, Patrick J. | Merrill Private Wealth Management | Miami | X | |||
Garvin, Chris | UBS Financial Services Inc. | Fort Lauderdale | X | X | X | X |
Hoyt, William B. | Raymond James & Associates | St. Petersburg | X | X | X | |
Lytell, Matthew B. | Northwestern Mutual - Riverwalk Wealth Advisors | Tampa | X | X | X | X |
Moll, Todd A. | Provenance Wealth Advisors/Raymond James | Fort Lauderdale | X | X | X | |
Moran, Thomas | Moran Edwards Asset Management | Naples | X | X | X | |
Pinkerton, Scott | Pinkerton, Harkins and Mehserle Private Wealth | Venice | X | X | X | X |
Starner, Margaret C. | Raymond James & Associates | Coral Gables | X | X | X | |
Thompson, Mark G. | Thompson Wealth Management of Raymond James | Melbourne | X | X | ||
Tiano, Sal | J.P. Morgan Securities | Palm Beach Gardens | X | X | X | |
Ventrice, Ed | UBS Financial Services Inc. | Boca Raton | X | X | X | |
Walsh, Jr., Joseph | Walsh & Associates / LPL Financial | Sarasota | X | X | X | |
GEORGIA | ||||||
Hansberger, James C. | Morgan Stanley Private Wealth Management | Atlanta | X | X | X | |
Harbour, Andrew | Morgan Stanley Graystone | Atlanta | X | X | X | X |
Smith, Ryan B. | Northwestern Mutual | Atlanta | X | X | X | X |
Westmoreland, Rod | Merrill Private Wealth Management | Atlanta | X | X | ||
GUAM | ||||||
Miyashita, Jason B. | Raymond James & Associates | Maite | X | X | X | X |
HAWAII | ||||||
Fujimoto, Eric F. | Ameriprise Financial Services, Inc. | Honolulu | X | X | ||
IDAHO | ||||||
Samples, Justin T. | Ameriprise Financial Services, Inc. | Boise | X | X | X | X |
ILLINOIS | ||||||
Corrigan, Jim M. | Merrill Lynch Wealth Management | Chicago | X | X | X | X |
Fries, Daniel A. | Merrill Lynch Wealth Management | Chicago | X | X | X | X |
Garrity, Christopher | Merrill Lynch Wealth Management | Northbrook | X | |||
Griffo, Andrew D. | Morgan Stanley Wealth Management | Chicago | X | X | X | X |
Hammond III, John L. | Merrill Lynch Wealth Management | Northbrook | X | X | X | |
Held, Richard M. | UBS Financial Services Inc. | Chicago | X | X | X | |
Lynch, Kevin R. | Morgan Stanley Private Wealth Management | Chicago | X | |||
Magnesen, Scott K. | Morgan Stanley Wealth Management | Oak Brook | X | X | X | |
Maltby, Jay | UBS Financial Services Inc. | Chicago | X | X | X | |
Meyer, Douglas L. | Wells Fargo Advisors | Deerfield | X | X | X | X |
Parker, Shawn E. | Ameriprise Financial Services, Inc. | Schaumburg | X | X | X | |
Sakach, Michael | Morgan Stanley Graystone | Chicago | X | X | ||
Schaffer, Michael S. | Wells Fargo Advisors | Lake Forest | X | X | X | |
Schuster, Scott | Dashboard Wealth Advisors/Raymond James | Oak Brook | X | X | X | X |
Spahn, Kevin M. | Northwestern Mutual - Spahn Financial | Lombard | X | X | ||
Watson, Philip J. | Ameriprise Financial Services, Inc. | Downers Grove | X | X | X | X |
White, Brett D. | Ameriprise Financial Services, Inc. | Oakbrook Terrace | X | X | ||
Whitney, James F. | Morgan Stanley Graystone | Chicago | X | X | ||
INDIANA | ||||||
Cooke, Brian F. | Cooke Financial Group at Sanctuary Wealth | Indianapolis | X | X | X | |
Cooke, Chris | Cooke Financial Group at Sanctuary Wealth | Indianapolis | X | X | X | |
Lehman, Randall T. | Northwestern Mutual - Summit Financial Group | Fort Wayne | X | X | X | |
Moore, Christopher P. | Ameriprise Financial Services, Inc. | Fort Wayne | X | X | X | X |
Payne, Eric | Merrill Lynch Wealth Management | Indianapolis | X | X | X | |
Perkins, Ryan N. | Ameriprise Financial Services, Inc. | Fort Wayne | X | X | X | |
IOWA | ||||||
Brandt, Jeffrey W. | Ameriprise Financial Services, Inc. | Fort Dodge | X | X | X | X |
Swanson, Keith K. | Morgan Stanley Private Wealth Management | West Des Moines | X | X | X | |
KANSAS | ||||||
Barry, Don | Baird | Wichita | X | X | ||
Evans, Ray | Infinitas, LLC | Overland Park | X | X | X | X |
Ewing, Paul W. | Prosperity Advisory Group / Cetera Advisors | Overland Park | X | X | X | X |
Freeman, Thomas H. | UBS Financial Services Inc. | Leawood | X | X | ||
KENTUCKY | ||||||
Donohue, Dean M. | Ameriprise Financial Services, Inc. | Louisville | X | X | X | X |
Kisker, Douglas E. | Ameriprise Financial Services, Inc. | Crestview Hills | X | X | X | X |
Mahurin, Pete | Hilliard Lyons | Bowling Green | X | X | X | X |
LOUISIANA | ||||||
Eustis, Curtis D. | Merrill Lynch Wealth Management | New Orleans | X | X | X | |
Frayard, Rick | UBS Financial Services Inc. | Lafayette | X | X | X | X |
Simmons, Charles L. | Ameriprise Financial Services, Inc. | Metairie | X | X | X | |
MARYLAND | ||||||
Baum, Patricia P. | RBC Wealth Management | Annapolis | X | X | X | X |
Dingle, Frank W. | RBC Wealth Management | Baltimore | X | X | X | |
Etergino, Ann Marie | RBC Wealth Management | Chevy Chase | X | X | X | |
Jackson, Margaret M. | RBC Wealth Management | Annapolis | X | X | X | |
Lee, Thomas P. | Lee, Sipe and Associates/Raymond James | Rockville | X | X | X | |
Pearce, Kent V. | Merrill Lynch Wealth Management | Towson | X | X | X | |
Richmond, Traci M. | The Meakem Group/Raymond James | Bethesda | X | X | ||
Sella, Edward Geoffrey | SPC Financial, Inc./Raymond James | Rockville | X | X | ||
Smith, Ted | UBS Financial Services Inc. | Baltimore | X | X | ||
Smith III, H. James | RBC Wealth Management | Baltimore | X | X | X | |
MASSACHUSETTS | ||||||
Bartholomew, Thomas J. | Bartholomew & Company, Inc. | Worcester | X | X | X | X |
Behman, Marcella M. | Merrill Private Wealth Management | Boston | X | X | ||
Botta, Frank A. | J.P. Morgan Securities | Boston | X | X | ||
Connolly, Jr., Richard F. | Morgan Stanley Private Wealth Management | Boston | X | X | X | |
Corbett, L.O. Patrick | J.P. Morgan Securities | Boston | X | X | X | |
Fucigna, James | Morgan Stanley Wealth Management | Boston | X | X | X | |
Gage, Douglas B. | Ameriprise Financial Services, Inc. | Auburndale | X | X | X | |
Javaheri, David R. | Morgan Stanley Wealth Management | Wellesley | X | X | X | |
Joyce, Mark S. | Merrill Lynch Wealth Management | Boston | X | X | X | |
Levsky, Adrian | UBS Financial Services Inc. | Springfield | X | X | X | |
Livingstone, Victor T. | Morgan Stanley Private Wealth Management | Boston | X | X | X | |
Mason, Robert | J.P. Morgan Securities | Boston | X | X | X | |
McCauley, Paul J. | Merrill Private Wealth Management | Boston | X | X | ||
McGuirk, Gary L. | Merrill Private Wealth Management | Boston | X | X | ||
Miller, Richard R. | Ameriprise Financial Services, Inc. | Wellesley | X | X | X | X |
Mullin, Mary B. | Merrill Lynch Wealth Management | Boston | X | X | X | X |
Noonan, Peter C. | J.P. Morgan Securities | Boston | X | X | X | |
Nuwayhid, Ramzi N. | Merrill Private Wealth Management | Boston | X | X | ||
Princi, Peter | Morgan Stanley Graystone | Boston | X | X | X | |
Ramsay, Peter Ashley | Ameriprise Financial Services, Inc. | Norwell | X | X | X | |
Sharma, Raj | Merrill Private Wealth Management | Boston | X | X | X | |
Sugar, Alex | RBC Wealth Management | Boston | X | X | ||
Wilson, Daniel T. | Ameriprise Financial Services, Inc. | Auburndale | X | X | X | X |
Winthrop, Mark | Winthrop Wealth Management / LPL Financial | Westborough | X | X | X | |
MICHIGAN | ||||||
Aho, Mark A. | Mark Aho Financial Group/Raymond James | Marquette | X | X | X | |
Bernecker, Scott D. | Merrill Lynch Wealth Management | Grand Rapids | X | X | X | |
Fratarcangeli, Jeffrey | Fratarcangeli Wealth Management | Birmingham | X | X | X | |
Locniskar, Dana | Merrill Private Wealth Management | Troy | X | |||
Long, Timothy J. | Merrill Lynch Wealth Management | Grand Rapids | X | X | X | |
Lund, David A. | Merrill Lynch Wealth Management | Grand Rapids | X | X | X | X |
Migliazzo, Frank | Merrill Private Wealth Management | Troy | X | X | ||
Rosloniec, Michael | Morgan Stanley Graystone | Grand Rapids | X | X | X | |
Vigi, Jon | UBS Financial Services Inc. | Birmingham | X | X | X | |
Wyman, Timothy W. | Center for Financial Planning, Inc./Raymond James | Southfield | X | X | X | |
MINNESOTA | ||||||
Doroff, Randy G. | Ameriprise Financial Services, Inc. | Minneapolis | X | X | X | |
Endersbe, Thomas A. | Signature Wealth Management | Elk River | X | X | X | |
Erpelding, Michael M. | Northwestern Mutual | Edina | X | X | X | X |
Kumagai, Steven C. | Ameriprise Financial Services, Inc. | Golden Valley | X | X | X | |
Lee, Christopher J. | Wells Fargo Advisors | Bloomington | X | X | X | |
Neuman, Rhett P. | RBC Wealth Management | Stillwater | X | X | X | X |
Thoen, Gregory M. | Ameriprise Financial Services, Inc. | Austin | X | X | X | X |
Wheelock, Brad | RBC Wealth Management | Saint Cloud | X | X | X | X |
MISSISSIPPI | ||||||
Mosby, Bill (Rush) | UBS Financial Services Inc. | Jackson | X | X | X | X |
MISSOURI | ||||||
Burke, Thomas A. | Syntegra Private Wealth Group | Chesterfield | X | X | X | X |
Gatewood, John G. | Northwestern Mutual - Gatewood-Spalding Wealth Management | St. Louis | X | X | X | |
Moeller, Michael L. | Wells Fargo Advisors | Chesterfield | X | X | X | X |
Murray, Seth C. | Ameriprise Financial Services, Inc. | Springfield | X | X | X | X |
NEBRASKA | ||||||
Harrison, Tim | Northwestern Mutual - Harrison Financial Services | Omaha | X | X | X | X |
Kelley, Richard W. | RBC Wealth Management | Omaha | X | X | X | X |
Robinson, Andrew C. | Morgan Stanley Wealth Management | Omaha | X | X | X | X |
NEVADA | ||||||
Russell, Steve R. | Wells Fargo Advisors | Incline Village | X | X | ||
NEW JERSEY | ||||||
Bonevento, Michael | Intellectual Capital Group / LPL Financial | Wall | X | X | X | X |
Cooney, John D. | Bleakley Financial Group / LPL Financial | Fairfield | X | X | X | |
Deatherage, Mary M. | Morgan Stanley Private Wealth Management | Little Falls | X | X | X | |
Finney, Reed | Bleakley Financial Group / LPL Financial | Fairfield | X | X | X | X |
Gallina, Thomas P. | Northwestern Mutual | Princeton | X | X | X | |
Kugel, Elliott | Merrill Lynch Wealth Management | Bridgewater | X | X | X | |
Matina, Joseph | UBS Financial Services Inc. | Short Hills | X | X | ||
McGinley, Christine | UBS Financial Services Inc. | Mt. Laurel | X | X | X | |
McLaughlin, James M. | Raymond James & Associates | Princeton | X | X | X | X |
Pomerantz, Bruce | Wells Fargo Advisors | Short Hills | X | X | X | |
Ricca, Michael J. | Morgan Stanley Wealth Management | Florham Park | X | X | X | X |
Riley, Jack R. | UBS Financial Services Inc. | Warren | X | X | X | |
Schwartz, Andy M. | Bleakley Financial Group / LPL Financial | Fairfield | X | X | X | |
Schwartz, Daniel S. | UBS Financial Services Inc. | Paramus | X | X | ||
Schwartz, Scott | Bleakley Financial Group / LPL Financial | Fairfield | X | X | X | |
Walker, Ira A. | UBS Financial Services Inc. | Red Bank | X | X | ||
Weinerman, David S. | Morgan Stanley Wealth Management | Florham Park | X | X | X | X |
NEW YORK | ||||||
Adamsky, Jonathan | UBS Financial Services Inc. | New York | X | X | ||
Bakshi, Vishal | Merrill Private Wealth Management | New York | X | |||
Barrett, John C. | Merrill Lynch Wealth Management | New York | X | X | X | |
Basu, Ron | Morgan Stanley Private Wealth Management | New York | X | X | ||
Beyer, David | Morgan Stanley Wealth Management | New York | X | X | X | X |
Bieber, David | Morgan Stanley Private Wealth Management | New York | X | X | X | |
Bryan, Jeffrey M. | Merrill Private Wealth Management | New York | X | X | ||
Burrows, Bruce A. | Morgan Stanley Wealth Management | Garden City | X | X | X | X |
Cannataro, Louis S. | Northwestern Mutual - Cannataro Park Avenue Financial | New York | X | X | X | |
Chemtob, Mark | Ameriprise Financial Services, Inc. | New York | X | X | X | |
Chrys, Michael C. | Merrill Lynch Wealth Management | Latham | X | X | X | X |
Cohen, Leigh | Merrill Private Wealth Management | New York | X | X | ||
Covell, James A. | RBC Wealth Management | New York | X | X | X | X |
Coyle III, John F. | Morgan Stanley Private Wealth Management | Garden City | X | X | X | |
Cuneo, Paul L. | Merrill Lynch Wealth Management | Great Neck | X | X | X | |
Dyer, Robert C. | Merrill Private Wealth Management | New York | X | X | ||
Epstein, Adam F. | UBS Financial Services Inc. | New York | X | X | X | |
Gully, Joshua P. | Morgan Stanley Private Wealth Management | New York | X | X | ||
Halbfinger, Martin L. | UBS Financial Services Inc. | New York | X | X | X | |
Hart, Andrew | Morgan Stanley Private Wealth Management | New York | X | X | ||
Haskell, Michael T. | UBS Financial Services Inc. | New York | X | X | ||
Karetsky, Marc | Morgan Stanley Private Wealth Management | New York | X | X | ||
Kass, Jonathan | Merrill Lynch Wealth Management | New York | X | X | X | |
Katz, Jason M. | UBS Financial Services Inc. | New York | X | X | X | X |
Kavallieratos, Nick | Morgan Stanley Wealth Management | New York | X | X | X | X |
Kelton, Richard W. | Northwestern Mutual - Kelton Financial Group | Latham | X | X | ||
Klingman, Gerard | Klingman & Associates/Raymond James | New York | X | X | X | |
Klotz, Jeffrey | UBS Financial Services Inc. | New York | X | X | X | X |
Kokubo, Sergio S. | UBS Financial Services Inc. | New York | X | |||
Kolev, Bobby | Morgan Stanley Wealth Management | New York | X | X | X | |
Maddalena, O. Anthony | Morgan Stanley Wealth Management | Purchase | X | X | X | X |
Malkin, Joshua D. | Morgan Stanley Private Wealth Management | New York | X | X | X | |
Mark, Ira | RBC Wealth Management | New York | X | X | X | |
Mayer, Jordan | J.P. Morgan Securities | New York | X | X | X | |
Millman, Ira M. | Morgan Stanley Wealth Management | New York | X | X | X | |
Moeder, Alyssa C. | Merrill Private Wealth Management | New York | X | |||
Myers, Jonathon L. | Ameriprise Financial Services, Inc. | Vestal | X | X | X | |
Newman, William J. | Northwestern Mutual | Albany | X | X | X | X |
Nocon, Nannette | Ameriprise Financial Services, Inc. | Rochester | X | X | X | |
O'Connell, Daniel T. | Merrill Lynch Wealth Management | Garden City | X | X | X | |
Papandrea, Rocco | Merrill Lynch Wealth Management | New York | X | X | X | X |
Pell, Geri E. | Ameriprise Financial Services, Inc. | Rye Brook | X | X | ||
Perry, Todd | UBS Financial Services Inc. | New York | X | X | ||
Pintado Caravita, Ricardo | UBS Financial Services Inc. | New York | X | |||
Rabito, Russell A. | UBS Financial Services Inc. | New York | X | X | X | |
Rasulo, John | J.P. Morgan Securities | New York | X | X | ||
Reali, Renato J. | UBS Financial Services Inc. | New York | X | X | X | |
Rosenthal, Peter W. | UBS Financial Services Inc. | Jericho | X | X | ||
Sargent, John H. | Morgan Stanley Private Wealth Management | New York | X | |||
Schiller, Brian | UBS Financial Services Inc. | New York | X | X | ||
Schoff, William L. | UBS Financial Services Inc. | Rochester | X | X | X | |
Schubach, Clark | J.P. Morgan Securities | New York | X | X | X | |
Schwarz, PJ | Morgan Stanley Private Wealth Management | New York | X | |||
Serure, Theodore | J.P. Morgan Securities | New York | X | X | X | X |
Stackman, Scott | UBS Financial Services Inc. | New York | X | X | X | |
Taggart, Michael M. | J.P. Morgan Securities | New York | X | X | X | |
Temel, Charles S. | UBS Financial Services Inc. | New York | X | X | X | |
Tennant, Steven A. | Northwestern Mutual - Tennant Financial | Ballston Lake | X | X | ||
Terzioglu, Ahmet | Morgan Stanley Wealth Management | Rochester | X | X | X | |
Vahab, Andrew M. | Citi Personal Wealth Management | New York | X | X | X | |
Vigue, Paul R. | UBS Financial Services Inc. | New York | X | X | X | |
Vinder, Ron J. | Morgan Stanley Private Wealth Management | New York | X | |||
Weil, Noel | Merrill Private Wealth Management | New York | X | |||
Winik, Jeffrey | Morgan Stanley Wealth Management | New York | X | X | X | |
Witover, M. Kenneth | UBS Financial Services Inc. | New York | X | X | ||
Zeller, Mark | UBS Financial Services Inc. | New York | X | X | X | |
Zipper, Adam J. | J.P. Morgan Securities | New York | X | X | X | |
NORTH CAROLINA | ||||||
Graves, Kelly | Carroll Financial / Cetera Advisor Networks | Charlotte | X | X | ||
Landau, Adam B. | Morgan Stanley Private Wealth Management | Charlotte | X | X | ||
McCardell, John | Merrill Lynch Wealth Management | Charlotte | X | X | X | |
Rakestraw, David W. | BB&T Scott & Stringfellow | Raleigh | X | X | X | X |
Walker, Mark | Ameriprise Financial Services, Inc. | Charlotte | X | X | X | X |
Wickham, R. Mitchell | Merrill Private Wealth Management | Charlotte | X | X | X | |
NORTH DAKOTA | ||||||
Bird, Joel L. | Ameriprise Financial Services, Inc. | Bismarck | X | X | X | X |
Schlafman, Dave A. | Ameriprise Financial Services, Inc. | Bismarck | X | X | X | |
OHIO | ||||||
Armitage, Elizabeth C. | Merrill Lynch Wealth Management | Cincinnati | X | X | X | X |
Bruegge, Kevin | Merrill Private Wealth Management | Cincinnati | X | X | ||
Carbetta, Paul C. | Ameriprise Financial Services, Inc. | Worthington | X | X | X | X |
Carver, Randy | Carver Financial Services/Raymond James | Mentor | X | X | X | X |
Chornyak, Jr., Joseph A. | Chornyak & Associates | Columbus | X | X | X | X |
Chornyak, Sr., Joseph A. | Chornyak & Associates | Columbus | X | X | X | X |
Edwards, Brian J. | Morgan Stanley Wealth Management | Columbus | X | X | X | X |
Findley, Craig D. | UBS Financial Services Inc. | Sylvania | X | X | X | |
Fish, Stephen J. | UBS Financial Services Inc. | Cincinnati | X | X | X | |
Mauk, Robert A. | Chornyak & Associates | Columbus | X | X | X | X |
Motta, Peter F. | Merrill Private Wealth Management | Columbus | X | X | ||
Myeroff, Kevin | NCA Financial Planners | Cleveland | X | X | X | |
Shane, Jon R. | Merrill Lynch Wealth Management | Pepper Pike | X | X | X | X |
Singer, David L. | Merrill Private Wealth Management | Cincinnati | X | X | ||
OREGON | ||||||
Hall, Michael S. | Ameriprise Financial Services, Inc. | Eugene | X | X | X | |
McGee, Judith A. | McGee Wealth Management, Inc./Raymond James | Portland | X | X | X | X |
PENNSYLVANIA | ||||||
Beck, Robert W. | Wells Fargo Advisors | Allentown | X | X | X | X |
Garvey, John T. | UBS Financial Services Inc. | Philadelphia | X | X | ||
Jugan, AJ | Ameriprise Financial Services, Inc. | Pittsburgh | X | X | X | X |
Keller, Harry E. | Voya Financial Advisors | Conshohocken | X | X | ||
Rimmel, James W. | UBS Financial Services Inc. | Pittsburgh | X | X | X | X |
Rohr, Peter A. | Merrill Private Wealth Management | Philadelphia | X | X | ||
Sargent, Peter H. | Janney Montgomery Scott | Yardley | X | X | X | |
Seiler, Thomas A. | Raymond James & Associates | Newtown | X | X | X | |
Spanos, Samuel W. | Raymond James & Associates | Beaver | X | X | X | X |
SOUTH CAROLINA | ||||||
Kibler, E. Robertson | Merrill Private Wealth Management | Columbia | X | X | ||
Migliore, Richard T. | Merrill Lynch Wealth Management | Columbia | X | X | X | |
Vingi, Jr., Robert E. | Wells Fargo Advisors | Charleston | X | X | X | |
SOUTH DAKOTA | ||||||
Nelson, Todd | Merrill Lynch Wealth Management | Sioux Falls | X | X | X | X |
Quello, Nathan S. | Loft Advisors/Raymond James | Sioux Falls | X | X | X | X |
Wollman, Gordon | Cornerstone Financial Solutions/Raymond James | Huron | X | X | X | |
TENNESSEE | ||||||
Mayer, Ward | Raymond James & Associates | Memphis | X | X | X | X |
Roberson, Tim | Merrill Lynch Wealth Management | Brentwood | X | X | X | |
Smith, Trey | SunTrust Investment Services | Nashville | X | X | X | |
Stein, Mike | Wells Fargo Advisors | Memphis | X | X | X | X |
Trentham, Brent L. | Ameriprise Financial Services, Inc. | Alcoa | X | X | X | X |
TEXAS | ||||||
Acerra, Guy M. | Ameriprise Financial Services, Inc. | San Antonio | X | X | ||
Begay, Audree L. | Ameriprise Financial Services, Inc. | Houston | X | X | X | |
Bertino, Rob | UBS Financial Services Inc. | Dallas | X | X | ||
de Groot, Frederick | Merrill Lynch Wealth Management | The Woodlands | X | X | ||
Gladstein, Mark B. | Merrill Lynch Wealth Management | Houston | X | X | X | X |
Harrell, Bob | Harrell Investment Partners, LLC | Austin | X | X | ||
Johri, Anupam (AJ) | Morgan Stanley Wealth Management | Dallas | X | X | X | |
Kardesch, Matthew | Ameriprise Financial Services, Inc. | Houston | X | X | X | |
Leven, Will | Merrill Private Wealth Management | Houston | X | |||
McBride, Tommy | Merrill Lynch Wealth Management | Dallas | X | X | ||
McIntire, Thomas R. | Cadent Capital, LLC/Raymond James | Dallas | X | X | X | X |
McIntyre Fields, Charla K. | Ameriprise Financial Services, Inc. | Hurst | X | X | X | X |
McMeen, Robert | Parkway Wealth Management Group/Raymond James | Plano | X | X | ||
Messick, Chris | Northwestern Mutual - Messick Peacock & Associates | Dallas | X | X | ||
Muldoon, Kathleen | Carter Financial Management/Raymond James | Dallas | X | X | X | |
Paulson, Richard P. | Raymond James & Associates | Houston | X | |||
Pearcy, Van M. | Van Pearcy’s Wealth Services Team/Raymond James | Midland | X | X | X | X |
Pennington, Darrell R. | Ameriprise Financial Services, Inc. | Houston | X | X | X | |
Peterson, Donald S. | UBS Financial Services Inc. | Dallas | X | X | X | |
Stavis, Deborah M. | Stavis & Cohen Financial | Houston | X | X | ||
Uptegraph, Jr., Don S. | Morgan Stanley Wealth Management | Houston | X | X | ||
Wood, Jr., F. Michael | Merrill Private Wealth Management | San Antonio | X | X | ||
VIRGINIA | ||||||
Barnette, Jr., James T. | Global Advisor Group/Raymond James | Reston | X | X | X | X |
Berry, Fritz A. | SunTrust Investment Services | Charlottesville | X | X | X | |
Cassaday, Stephan Q. | Cassaday & Company, Inc. | McLean | X | X | X | X |
Caudron, Tristan M. | Caudron Megary Blackburn Wealth Management Group of Wells Fargo Advisors | Alexandria | X | X | X | X |
Fitzgerald, Jim | Northwestern Mutual - Fitzgerald Financial Group | Richmond | X | X | X | X |
Hancock, Michael S. | Ameriprise Financial Services, Inc. | Charlottesville | X | |||
Hayes, Brett | Wells Fargo Advisors Financial Network | Richmond | X | X | X | X |
Kurtz, Jonathan R. | Voya Financial Advisors | Vienna | X | X | X | X |
LeClair, Jeff W. | Wells Fargo Advisors | McLean | X | X | X | |
Lewis, John B. | BB&T Scott & Stringfellow | Richmond | X | X | X | |
Luu-Tu, Kim C. | Ameriprise Financial Services, Inc. | Vienna | X | X | X | |
Montgomery, Joseph W. | Wells Fargo Advisors | Williamsburg | X | X | X | |
Stokes, Nolan W. | Northwestern Mutual | Fairfax | X | X | ||
Strange, Allan H. | Janney Montgomery Scott | Richmond | X | X | X | X |
WASHINGTON | ||||||
Hollomon, Stephen J. | Merrill Lynch Wealth Management | Seattle | X | X | X | |
Matthews, Michael S. | UBS Financial Services Inc. | Bellevue | X | X | ||
Munster, Bruce C. | Merrill Private Wealth Management | Bellevue | X | X | ||
Scannell, Erin J. | Ameriprise Financial Services, Inc. | Mercer Island | X | X | X | X |
West, Lowry | Morgan Stanley Private Wealth Management | Seattle | X | X | X | |
WEST VIRGINIA | ||||||
Hall, Chris | Hall Financial Advisors, LLC | Parkersburg | X | X | X | X |
Houchins, David L. | BB&T Scott & Stringfellow | Charleston | X | X | X | X |
WISCONSIN | ||||||
Burish, Andrew D. | UBS Financial Services Inc. | Madison | X | X | X | X |
Calvelli, Chris | Baird | Milwaukee | X | X | X | X |
David, Jerry | Northwestern Mutual - Prescient Financial Solutions | Milwaukee | X | X | X | |
Doughty, Christopher | Gentian Financial, Inc./Raymond James | Mequon | X | X | X | |
Gwidt, David A. | Wells Fargo Advisors | Mequon | X | |||
Heckmann, Matthew M. | Northwestern Mutual - Heckmann Financial | Middleton | X | X | ||
Klein, Michael G. | Baird | Milwaukee | X | X | X | |
Kowal, Jeffrey | Kowal Investment Group, LLC/Raymond James | Waukesha | X | X | X | X |
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