2016 Los Angeles - Five Star Professional

Transcription

SPECIAL ADVERTISING SECTION
©FIVE STAR PROFESSIONAL
©FIVE STAR
PROFESSIONAL
2016
Los Angeles
Five PROFESSIONAL
Star Wealth Managers
©FIVE STAR
A Select
Award
Research
Disclosures
Determination
of
Award Winners
©FIVE
STAR PROFESSIONAL
Finding a wealth manager who suits your needs can be a daunting task. In fact, many consumers have a hard time figuring out where to even
begin.
Sometimes, a few simple questions can set one off on the right path. Asking a wealth manager what makes working with him or her a unique
experience can help you understand how they work and if their style meshes with your own. Further, asking a financial advisor to talk about any
specialties they might have can help uncover skills you might find useful.
Ultimately, how do you find an experienced wealth manager who you feel comfortable working with? One who has high retention rates? One who has undergone a
thorough complaint and regulatory review? One who has tenure in the industry?
Los Angeles magazine and Five Star Professional partnered to find wealth managers who satisfy 10 objective eligibility and evaluation criteria. Among many
distinguishing attributes, the average one-year client retention rate for this year’s award winners is more than 96 percent. Although this list is a useful tool for anyone
looking for help in managing their financial world or implementing aspects of their financial strategies, it should not be considered exhaustive. Undoubtedly, there are many
excellent wealth managers who, for one reason or another, are not on this year’s list.
In order to consider a broad population of high-quality wealth managers, award candidates are identified by one of three sources: firm nomination, peer nomination or prequalification based on industry standing. Self-nominations are not accepted. Los Angeles award candidates were identified using internal and external research data.
• Wealth managers do not pay a fee to be considered or placed on
the final list of Five Star Wealth Managers.
• The Five Star award is not indicative of the wealth manager’s future
performance.
• Wealth managers may or may not use discretion in their practice and therefore may not manage their
clients’ assets.
• The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an
endorsement of the wealth manager by Five Star Professional or Los Angeles magazine.
• Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future
investment success, nor is there any guarantee that the selected wealth managers will be awarded this
accomplishment by Five Star Professional in the future.
• Five Star Professional is not an advisory firm, and the content of this article should not be considered
financial advice. For more information on the Five Star award and the research/selection methodology,
go to www.fivestarprofessional.com.
• 2,374 award candidates in the Los Angeles area were considered for the Five Star Wealth Manager
award. 298 (approximately 13 percent of the award candidates) were named 2016 Five Star
Wealth Managers.
Award candidates who satisfied 10 objective eligibility and evaluation criteria were named 2016 Five Star
Wealth Managers.
Eligibility Criteria – Required
Evaluation Criteria – Considered
1. C redentialed as an investment advisory representative or a registered
investment advisor.
6. One-year client retention rate.
2. Actively employed as a credentialed professional in the financial services
industry for a minimum of five years.
8. N on-institutional discretionary and/or non-discretionary client assets
administered.
3. Favorable regulatory and complaint history review.
9. Number of client households served.
4. Fulfilled their firm review based on internal firm standards.
10. Education and professional designations.
7. Five-year client retention rate.
5. Accepting new clients.
Regulatory Review
As defined by Five Star Professional, the wealth manager has not:
• Been subject to a regulatory action that resulted in a license being suspended or
revoked, or payment of a fine.
• Had more than a total of three customer complaints filed against them (settled or
pending) with any regulatory authority or Five Star Professional’s consumer complaint
process.
• Individually contributed to a financial settlement of a customer complaint filed with a
regulatory authority.
• Filed for personal bankruptcy.
• Been convicted of a felony.
Five Star Professional conducts a regulatory review of each nominated wealth manager
using the Investment Adviser Public Disclosure (IAPD) website. Five Star Professional also
uses multiple supporting processes to help ensure that a favorable regulatory and complaint
history exists. Data submitted through these processes was applied per the above criteria:
• Each wealth manager who passes the Five Star Professional regulatory review must
attest that they meet the definition of favorable regulatory history, based upon the
criteria listed above.
• Five Star Professional promotes via local advertising the opportunity for consumers to
confidentially submit complaints regarding a wealth manager.
• Five Star Professional contacted approximately 1 in 12 households identified as having
a high propensity to use the services of wealth managers in order to provide consumers
the opportunity to submit complaints regarding a wealth manager.
For more information on the program, go to www.fivestarprofessional.com/wm_program.
www.fivestarprofessional.com — FS
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WEALTH MANAGER
©FIVE
Total STAR
Financial PROFESSIONAL
Resource Group, Inc.
Left to right: Alexandra; Sheri Creger; 2016 winner Bradford Creger; Nicholas
Brad Creger is the best-selling co-author of both “UNcommon” with Brian Tracy and “The Soul of
Success” with Jack Canfield. He’s also the President and CEO of Total Financial Resource Group, Inc.
(TFRG). According to Brad, however, his most important responsibility is raising his two beautiful
children, Alexandra and Nicholas, along with the help from his wife Sheri.
Brad believes family comes first, and he and his wife Sheri serve clients as if they were family. If that’s
not what you’re looking for in a financial advisor, then Brad may not be your guy. On the other hand,
if family is as important to you as it is to Brad and Sheri, then they would like to invite you to come in
and get a second opinion on your wealth management planning.
The TFRG “second opinion” will provide you with a written evaluation of your living trust documents,
most recent tax returns, insurance coverages and your investments. The money that TFRG could
potentially save you in unnecessary taxes, lower insurance premiums and/or lower investment fees
could be saved and invested; or spent, thereby increasing your standard of living.
Brad is a Best-Selling Author and has been seen in and on:
FS • 2 — www.fivestarprofessional.com
WEALTH MANAGER
Simplifying the Complex™
©FIVE STAR
PROFESSIONAL
No matter what your financial goals are… a
second opinion can help make sure you and
your family are on the right path.
Call TFRG today to schedule a time to sit
down together with Brad and Sheri for a
no-obligation second opinion. When you do,
Brad will give you a free signed copy of one
of his latest books.
One of the most common
recommendations from
financial advisors these days
is mutual funds.
We went in a different
direction …
Scan the QR code or visit
www.tfrgroup.com/5star to
download our FREE Special
Report and learn why we
think most people shouldn’t
use mutual funds.
TFRG serves families with $250,000 or more in
investable assets.
2016 winner Bradford Creger
Total Financial Resource Group, Inc.
155 North Lake Avenue, 8th Floor
Pasadena, CA 91101
Brad direct: 626-376-9777
Sheri direct: 626-376-9778
Toll-free: 800-984-TFRG | Fax: 626-795-9995
[email protected] | [email protected]
www.tfrgroup.com
Sheri Creger
Brad is a Registered Principal with First Allied Securities, Inc., a registered broker/dealer (Member FINRA/SIPC) and an Investment Advisory Rep. for both Total Financial Resource Advisory, Inc., a Registered Investment Advisor, and First Allied
Advisory Services, Inc., a Registered Investment Advisor. CA Insurance License 0B22199. Sheri is an Investment Advisory Rep. for Total Financial Resource Advisory, Inc. a Registered Investment Advisor. CA Insurance License 0E56268.
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered
investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history
review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total
of three customer complaints filed against them [settled or pending] with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through
a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience;
C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based
on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary
client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth
Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative
of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five
Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no
guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the
Five Star award and the research/selection methodology, go to fivestarprofessional.com. 2,374 Los Angeles wealth managers were considered for the award; 298 (13 percent of candidates) were named 2016 Five
Star Wealth Managers.
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WEALTH MANAGER
Kim
©FIVE STARJennifer
PROFESSIONAL
Senior Partner, M.S., CFP®, CMFC®, ChFC®, CLU®
2121 Avenue of the Stars, Suite 1600
Los Angeles, CA 90067
Phone: 310-712-2323
[email protected] | www.seia.com
Jennifer is proud to offer:
• A private client service experience and individual
attention for high-net-worth clients
• Portfolio customization that addresses each client’s
unique financial needs
• The institutional strength of SEIA coupled with
personalized wealth management strategies
Jennifer specializes in:
• Portfolio management
• Retirement planning
• Estate and legacy planning
• Philanthropic and family foundation management
THREE-YEAR WINNER
• Corporate benefits
Three-year winner Jennifer Kim
Jennifer is a registered representative of Signator Investors, Inc.
and a licensed, independent insurance broker with Signature
Comprehensive Insurance Services, LLC (SCIS). She has been in the
investment management and insurance business since 1993. As
a senior partner at Signature Estate & Investment Advisors (SEIA),
Jennifer addresses her clients’ unique goals and objectives by creating
an unbiased investment, estate or financial plan. She is committed
to the development of meaningful client relationships and adhering
to the firm’s core values of growing, preserving and protecting
her client’s legacy through comprehensive and ongoing wealth
management. She tailors each investment management portfolio
to service individual needs, conducting business with integrity;
maintaining her clients’ long-term goals is her absolute priority.
About SEIA
SEIA is a registered investment advisory that offers wealth
management services tailored to the high-net-worth individual. For
nine consecutive years, Barron’s magazine has recognized SEIA as a
top financial advisor.* In 2015, Forbes magazine ranked SEIA among its
Top 100 Wealth Managers. The firm also achieved another significant
milestone when it reached $5 billion AUM as of October 15, 2015.**
*America’s top 100 independent financial advisors, as identified by Barron’s. The ranking reflects the volume of assets overseen by the advisors and their teams, revenues generated for the firms and
the quality of the advisors’ practices. Brian D. Holmes, President and CEO, as named in Barron’s. Registered Representative/Securities offered through Signator Investors, Inc. Member FINRA, SIPC, 2121 Avenue of the Stars, Suite 1600,
Los Angeles, CA 90067, 310-712-2323. SEIA, LLC and its investment advisory services are offered independent of Signator Investors, Inc. and any subsidiaries or affiliates. JK CA Ins. 0B11807. **SEIA and affiliates.
A Higher Level of Success Requires a Higher Level of Expertise
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a
registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional,
the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or
pending] with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints
registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint filed with a
regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate;
7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay
a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional
products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth
manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no
guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and
the research/selection methodology, go to fivestarprofessional.com. 2,374 Los Angeles wealth managers were considered for the award; 298 (13 percent of candidates) were named 2016 Five Star Wealth Managers.
WEALTH MANAGER
John C. Lindsey
President/CEO, CFP®
Westlake Village, CA 91362
Phone: 805-330-3700 | [email protected] | www.lindseyandlindsey.com
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TWO-YEAR WINNER
Left to right: Christina Lindsey Orta, CFP®;
two-year winner John C. Lindsey, CFP®
Investment management, including stocks and mutual funds
Retirement planning and life insurance
Estate planning and preservation
Real estate investment trusts
Tax-reduction strategies and alternative investments
Asset protection through insurance and annuity products
John Lindsey’s fundamental investment philosophies are consistent with conservative,
long-range goals, helping clients accumulate wealth through sound diversification
strategies. John founded Lindsey & Lindsey Wealth Management in 2012 to better serve his
client base with an expanded universe of investment offerings. John’s daughter, Christina
Lindsey Orta, joined his team in July 2014, bringing more than ten years of experience
to Lindsey & Lindsey. Lindsey & Lindsey Wealth Management offers only independent,
objective investment advice dedicated to helping clients build wealth and protect their
hard-earned assets, recommending only those products and services that can be tailored
to suit their clients’ unique needs.
Securities offered through Securities America, Inc., a Registered Broker/Dealer Member FINRA/SIPC.
Jeffrey A. Taylor
ChFC®, CLU®, Private Wealth Advisor
• 2012 – 2016 Five Star Wealth Manager
award winner
• Comprehensive financial planning approach
• Retirement and estate planning strategies
• Investments
• Wealth preservation strategies
• Insurance
Left to right: San T. Pham, CFP®, Financial Advisor; Roxanne M. Annand, Associate Financial Advisor,
Client Service Specialist; five-year winner Jeffrey A. Taylor, ChFC®, CLU®, Private Wealth Advisor;
John Pulver, CFP®, Financial Advisor; Alan T. Loor, Client Service Specialist;
Renee M. Molinedo-Nelsen, Administrative Assistant
The team at Taylor Wealth Management, a private wealth advisory practice of Ameriprise
Financial Services, Inc., provides the knowledge and level of service necessary for the
affluent client. With more than 80 years of combined financial services experience,
we are committed to understanding and anticipating the expectations of high-networth individuals. We have convenient meeting locations in Glendale, Palmdale and
Woodland Hills.
Taylor Wealth Management, a private wealth advisory
practice of Ameriprise Financial Services, Inc.
190 Sierra Court, Suite B12
Palmdale, CA 93551
Office: 661-265-9998 | Fax: 661-265-9977
[email protected] | jeffreyataylor.com
Jeffrey A. Taylor Insurance CA License 0B14772.
Investors should conduct their own evaluation of a financial professional, as working
with a financial advisor is not a guarantee of future financial success.
Ameriprise Financial Services, Inc., Member FINRA and SIPC.
Customized, Personal Service
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WEALTH MANAGER
Jean D. Koehler
CLTC, Financial Advisor
• Retirement, wealth preservation and estate
planning strategies
• Investments and insurance
• Experience, integrity and dedication
Left to right: Alyssa Lopez, Paraplanner; 2013 – 2016 winner Jean D. Koehler;
Katrina Corona, Administrative Assistant
I am passionate about working with clients to help them plan to meet their financial needs,
now and in the future. I will look at your entire financial picture, including cash reserves
and debt management, investments, protection and taxes. I also ask targeted questions
and listen closely to your answers. That way you can feel confident that the advice I provide
reflects your personal dreams and goals.
Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a
guarantee of future financial success. Ameriprise Financial Services, Inc., Member FINRA and SIPC.
55 East Huntington Drive, Suite 340
Arcadia, CA 91006
Office: 626-254-0455
Toll-free: 800-268-1155
[email protected]
ameripriseadvisors.com/jean.d.koehler
When You Have the Right Financial Advisor, Life Can Be Brilliant
Arthur D. Kraus and
Mitchell S. Kraus
• Because It’s Your Legacy™
• Multigenerational wealth management
• Philanthropic planning and socially
responsible options
FOUR-YEAR WINNER
Left to right: Four-year winner Arthur D. Kraus, Chartered Advisor in Philanthropy®, ChFC®, CLU®, and
three-year winner Mitchell S. Kraus, CFP®, ChFC®, CLU®, CAP®
Capital Intelligence Associates is a family-owned and -operated financial planning and
wealth management firm with a focus on providing objective and comprehensive financial
guidance from an independent perspective. Our team brings you more than 70 years
of collective industry experience with associates who have attained the certifications of
CERTIFIED FINANCIAL PLANNER™ practitioner (Mitchell Kraus), Chartered Financial Consultant®,
Chartered Life Underwriter® and Chartered Advisor in Philanthropy®. Multigenerational
guidance … from our family to yours.
1250 Sixth Street, Suite 300
Santa Monica, CA 90401
Phone: 310-820-9797
[email protected]
[email protected]
www.capintelligence.com
Arthur D. Kraus and Mitchell S. Kraus are registered representatives with and
securities are offered through LPL Financial. Member FINRA/SIPC. CA Ins. 0196735.
Working With You, Your Family and Your Values
WEALTH MANAGER
The South Bay Group at
Morgan Stanley
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FIVE-YEAR WINNER
Left to right: 2013 – 2015 winner Stephen Betz, Financial Advisor; 2012 – 2016 winner Jeramy Heath,
Financial Advisor; Nancy Guaderrama, Senior Registered Associate
Tax-efficient investment management
Income investing for retirees
Income investing for trustees
Families with special needs
21250 Hawthorne Boulevard, Suite 650
Torrance, CA 90503
Phone: 310-543-0287
Our mission is to help our clients make smart financial decisions for the benefit of
themselves, their families and their charitable causes.
[email protected]
morganstanleyfa.com/southbaygroup
Our independent process enables us to provide unbiased advice and personalized, taxefficient investment solutions with a particular focus on income. Our services include
hands-on investment management, asset preservation, insurance review, retirement
planning, estate planning strategies and access to lending services where needed.
Additional information is available on our website. Our fee schedule is available upon
request. Congratulations, Jeramy, on being a 2012 – 2016 Five Star Wealth Manager.
©2016 Morgan Stanley Smith Barney LLC. Member SIPC.
Morgan Stanley and its Financial Advisors do not provide tax or legal advice.
Individuals should seek advice based on their particular circumstances from an
independent tax advisor. Morgan Stanley Smith Barney LLC offers insurance products
in conjunction with its licensed insurance agency affiliates.
Jeramy Heath CA Ins. 0D35596.
Putting Our Clients’ Interests First
Bennett Cale
Yuji Chao
President
Vice President, Financial Advisor
Beverly Hills, CA 90210
Maui, HI 96768
Cell: 808-268-5068
[email protected]
www.calefm.com
• Private wealth management and family office services
• Providing remarkable service to clients since 1997
Cale Financial Management, Inc. is an independent, fee-only registered
investment advisor. We receive no security product commissions or
corporate incentives. Our investment recommendations are influenced
only by a desire to see you succeed. At CFM, our philosophy is simple:
Your success is our success.
15800 S Western Ave.
Gardena, CA 90248
Phone: 310-354-4764
[email protected]
Wealth can provide opportunities, but it can also create significant
challenges. With our planning-based approach, we work closely with
you to help:
• Customize an investment plan based on your unique financial goals
• Adjust your investment plan to accommodate life events and changes
• Simplify the process and help you understand your options
We’re fluent in English and Japanese, and look forward to helping you.
UnionBanc Investment Services LLC is a registered broker-dealer, investment advisor,
member FINRA/SIPC, and subsidiary of Union Bank, N.A.
NOT FDIC-Insured
NO Bank Guarantee
MAY Lose Value
Prosperity and Peace of Mind™
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WEALTH MANAGER
Jeffrey R. Germain
Dennis F. Rose
Senior Financial Advisor, Certified Investment Management Consultant
CPA, PFS
707 S Wilshire Blvd., Ste. 5300
Phone: 213-688-3714
[email protected]
• Comprehensive wealth planning
• Investment and risk management strategies
• Client education
Our mission is to help our clients and their families reach their financial
goals by providing comprehensive wealth planning and creative,
sound investment strategies that can help build and preserve wealth
for today and for future generations.
Investment and insurance products: NOT FDIC-Insured NO Bank Guarantee MAY Lose Value.
Wells Fargo Advisors, LLC is a registered broker-dealer and a separate, non-bank affiliate of
Wells Fargo & Company. [CAR 1115-00890]
4312 Woodman Ave., Ste. 200
Sherman Oaks, CA 91423
Phone: 818-501-9922
[email protected]
www.pfc.la
• Retirement planning
• Estate planning strategies
• Long-term care and
life insurance
• Growth and income
strategies
• Portfolio/investment
review service
Dennis has over 16 years of experience as a financial advisor and 40
years of experience as a CPA. By utilizing both these areas of expertise,
Dennis is able to assist clients in reaching their goals in a well-defined
and diversified approach and in a tax-efficient manner.
Securities and investment advisory services offered through National Planning Corporation (NPC), NPC of
America in FL and NY, Member FINRA/SIPC, and a Registered Investment Adviser. Five Star Professional,
Premier Financial Consultants, and NPC are separate and unrelated companies. NPC does not render tax
advice. Receipt of the award is not indicative of investment performance. For more information, visit
fivestarprofessional.com. CA Insurance Lic. 0694777.
A Goal Without a Plan Is Just a Wish
Adam Goldstein
CFP®, ChFC®, CLU®, CMFC®, Private Wealth Advisor
23622 Calabasas Rd., Ste. 320
Calabasas, CA 91302
Office: 818-704-6675
[email protected]
www.adamgoldsteinadvisor.com
FIVE-YEAR WINNER
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Retirement, investment and estate planning strategies
Asset preservation strategies and insurance guidance
Personalized solutions to help you meet your goals
2012 – 2016 Five Star Wealth Manager award winner
Are you looking for ways to reach your financial goals in today’s volatile
market? Whether you are saving for retirement, college for your kids, home
improvement, travel, or other needs and dreams, you may be unsure about
what to do next or whether you can do anything at all. That’s where I can
help. I will take the time to listen and understand your goals.
Investors should conduct their own evaluation of a financial professional as working with a financial advisor
is not a guarantee of future financial success. Investment advisory services and products are made available
through Ameriprise Financial Services, Inc., a registered investment adviser.
Ameriprise Financial Services, Inc., Member FINRA and SIPC.
“Don’t listen to other people. Investigate
for yourself. Be wary of wealth managers
who say they never had a down year.”
— Five Star award winner
Comprehensive Financial Planning Approach
WEALTH MANAGER
Vickie Adams
CFP®, CDFA™
TWO-YEAR WINNER
Manhattan Beach, CA 90266
San Pedro, CA 90732
Office: 310-514-0240
[email protected]
www.WealthVickie.com
www.MyDivorceFinancialPlanner.com
Elite financial guidance for your unique life
For 25 years, I’ve designed strategic plans using
a disciplined wealth management process to
pursue your vision of financial independence at
every life transition. Each client receives frequent
communication and service exceeding expectation
to instill peace of mind.
Securities offered through HD Vest Investment ServicesSM. Member: SIPC.
Advisory Services offered through HD Vest Advisory ServicesSM.
Deborah Wilkins Betters
Mark Kennedy
Financial Advisor
President
2381 Rosecrans Ave., Ste. 115
El Segundo, CA 90245
Direct: 310-297-3746
Toll-free: 866-398-5548
THREE-YEAR WINNER
[email protected]
I believe my clients deserve a financial advisor
who shares their vision, earns their trust and works
diligently to help them achieve their goals, and I
would love to do the same for you. 2014 – 2016
Five Star Wealth Manager.
23901 Calabasas Rd., Ste. 1000
Calabasas, CA 91302
Phone: 818-224-4177
Fax: 818-224-4685
[email protected]
www.kennedywealthmgmt.com
Mark Kennedy specializes in creating retirement
income strategies to make sure his clients are able to
generate lifetime income streams*; cover potential,
long-term care needs; and make sure beneficiaries
keep more of their inheritance than the IRS.
*Annuity guarantees rely on the financial strength and claims-paying
ability of the issuing insurance company and are not guaranteed by
any bank or the FDIC. Kennedy Wealth Management LLC, A Registered
Investment Advisor. Insurance products offered through Kennedy
Financial & Insurance Services, Inc. CA Lic. 0B51501.
Josh K. Oder
Richard J. Ryan
Sheryl O’Donnell
Principal
Senior Portfolio Manager, Financial Advisor
Vice President, Financial Advisor
Oder & Stewart
Investment
Management, LLC
21300 Victory Blvd., Ste. 855
Woodland Hills, CA 91367
Phone: 818-676-0036
[email protected]
www.oderstewart.com
Since 1999, I have been dedicated to providing
transparency and personalized service to investors.
Our philosophy as a firm is centered around the
belief that all families are unique and require a plan
tailored specifically to their needs.
FOUR-YEAR WINNER
21650 Oxnard St., Ste. 1800
Direct: 818-715-1894
Toll-free: 800-755-2550
[email protected]
www.morganstanleyfa.com/richard.j.ryan
21250 Hawthorne Blvd., Ste. 650
Torrance, CA 90503
Phone: 310-543-0230
Toll-free: 800-221-8764, Ext. 0230
THREE-YEAR WINNER
sheryl.o’[email protected]
morganstanleyfa.com/sheryl.odonnell
Markets change. With 35 years of experience, I can
be your guide through the investing jungle. My job
is to help you optimize the return on your assets in
a way designed to help you meet your goals while
seeking to minimize the risks involved. My clients
seek my assistance to do just that. 2013 – 2016 Five
Star Wealth Manager award winner.
Every year has been a sincere privilege helping
clients build their wealth through customized
investment strategies. Whether your focus is asset
accumulation, retirement, distribution or passing
wealth to loved ones, there is a strategy for you.
2013, 2014 and 2016 Five Star Wealth Manager.
Carolyn Hemann
Josh Fatoullah
Hansen Champlin
CFP®, Private Wealth Advisor
CRPC®, Founder and CEO
LPL Financial Consultant
Registered as an investment advisor in California, Washington and Texas.
Oder & Stewart Investment Management, LLC. CRD 134506.
11835 W Olympic Blvd., Ste. 735E
Office: 310-477-2500
Direct: 310-477-2301
[email protected]
FOUR-YEAR WINNER
www.CarolynHemann.com
Carolyn, a 2013 – 2016 Five Star Wealth Manager
award winner, has been guiding clients toward
financial independence for more than 25 years.
She is passionate about providing timely, quality
financial advice and financial planning that can
lead to peace of mind for her clients.
Investors should conduct their own evaluation of a financial professional as
working with a financial advisor is not a guarantee of future financial success.
Ameriprise Financial Services, Inc., Member FINRA and SIPC. CA Ins. 0721941.
1875 Century Park E
Toll-free: 800-353-3775
[email protected]
www.jrwealthadvisors.com
Mr. Fatoullah advises entrepreneurs, executives,
professional athletes and affluent families on a
wide range of wealth management solutions,
including portfolio construction, asset allocation,
risk management, and tax and estate planning. His
mission is to provide the ultimate wealth management
experience through proper planning, proactive advice
and exceptional, personalized service.
Securities and advisory services offered through LPL Financial, a
registered investment advisor. Member FINRA/SIPC.
1899 Western Way
Torrance, CA 90501
Office: 877-254-9328, Ext. 5315
Phone: 310-536-5315
[email protected]
Investwithwestern.com
I am so grateful for the individuals and families
that I’ve had the privilege to work with for the past
20-plus years. Your trust and confidence are my
greatest senses of accomplishment. I look forward
to us tackling the challenges of the next 20 years.
Securities offered through LPL Financial, Member FINRA/SIPC. Insurance
products offered through LPL Financial or its licensed affiliates.
NOT NCUA INSURED NO CREDIT UNION GUARANTEE MAY LOSE VALUE
•9
WEALTH MANAGER
“If you’re
in this
©FIVE STAR
PROFESSIONAL
business for money
alone, you will never
©FIVE STAR
PROFESSIONAL
make it. You have to
genuinely want to
©FIVE STAR
PROFESSIONAL
make a difference in
your clients’ lives.”
Terrence Gomes
Shawn McElderry
Financial Advisor
Managing Partner, Financial Advisor
6303 Owensmouth Ave., 10 th Fl.
Cell: 818-370-9046
Toll-free: 855-529-4015
19191 S Vermont Ave., Ste. 400
Torrance, CA 90502
Phone: 310-756-0600, Ext. 7208
Fax: 310-756-0321
[email protected]
www.trilogyfs.com
Terrence Gomes believes that when it comes to
financial planning, it is not a one-size-fits-all plan. He
has taken a custom approach to providing solutions
for his clients to advise them on how to reach their
financial goals. Give Terrence a call today.
Securities and advisory services offered through National Planning Corp.
(NPC), a Registered Investment Advisor. Member FINRA and SIPC. Trilogy
Financial Services, and NPC are separate and unrelated entities.
[email protected]
www.monarchadvisors.com
Taking a holistic approach for each individual,
Shawn specializes in customizing a strategy to
meet client goals. He prides himself in taking
the time to understand your financial picture
with a comprehensive yet clear plan to navigate
your future.
— Five Star award winner
Securities and Advisory Services offered through SII Investments, Inc.
(SII), member FINRA/SIPC and a Registered Investment Advisor. SII and
Monarch Wealth & Retirement Strategies are separate companies.
Award winners listed by primary services and listed alphabetically by last name.
Business Planning
Jennifer Capo · TIAA-CREF
Tammy Trenta · EP Wealth
Advisors
Alex Chalekian · Lake Avenue
Financial
Financial Planning
George L. Cheng · Ameriprise
Financial Services, Inc.
Veronica Aaron · Householder
Group Estate and Retirement
Specialists
Kathleen Adams · SEIA
Vickie Adams · HD Vest Page 9
Elizabeth Aglubat · Ameriprise
Travis Alexander · Ameriprise
Thomas Andersen · Morgan
Stanley
Pablo Avina · Ameriprise Financial
Services, Inc.
Richard K. Azouz · Summit
Brokerage Services
Zachary Bainter · Gerber Kawasaki
Toni Beck Espinoza · Morgan
Stanley
David Bergmann · The David R.
Bergmann Group
Deborah Wilkins Betters ·
Morgan Stanley Page 9
Victoria Black · Ameriprise
Stan Choo · Ameriprise Financial
Services, Inc.
Candace Colescott · Marquis
Financial
Aaron Gregory Cook · Ameriprise
James Cox · Morgan Stanley
Bradford Creger · Total Financial
Resource Group Page 2 & 3
Brett Dalton · Ameriprise Financial
Services, Inc.
Angela Dax · Ameriprise Financial
Services, Inc.
Bob Farmer · Comprehensive
Wealth Management
Josh Fatoullah · J.R. Wealth
Advisors Page 9
Neil Finestone · Finestone
Partners/Raymond James
Financial Services
Richard Frankel · Morgan Stanley
Christine Fuentes · Ameriprise
Carlos Getino · Ameriprise
Laura Gilman · KCS Wealth
Advisory
Jose Godinez · Ameriprise
Adam S. Goldstein · Ameriprise
Financial Services, Inc. Page 8
Hatem Dhiab · Gerber Kawasaki
Terrence Gomes · Trilogy
Financial Services Page 10
Jeremy Dicker · One Wealth
Management
Daniel Gracy · Ameriprise
Kelly Lynn Doyle · Ameriprise
Peter Han · Harvest Financial
Keith Ellen · KGE Wealth
Management
Maziar Esmailbeigi · Steel Peak
Wealth Management
Donald Harrington · MML
Investors Services
Brad Harris · Perennial Financial
Services
Robert Harte · Cetera Advisor
Networks
Sayeed Hasnat · Morgan Stanley
Victor Hazard · HD Vest
Jeramy Heath · Morgan Stanley
Page 7
Carolyn Hemann · Ameriprise
Andrew Horowitz · Morgan
Stanley
Bruce Horowitz · Innovative
Wealth Strategists
Howard A. Huckins · Ameriprise
A. Lamar Hudson · LPL Financial
Hanh Juzang · Morgan Stanley
Mark Kennedy · Kennedy Wealth
Management Page 9
Page Khalajestani · Pakha
Investment Advisory
Jean Koehler · Ameriprise
Arthur Kraus · Capital
Intelligence Associates/LPL
Financial Page 6
Mitchell Kraus · Capital
Intelligence Associates/LPL
Financial Page 6
Farid Krizman · TIAA-CREF
WEALTH MANAGER
Dan Kutzkey · Maxwell Financial
Group
Gail Reid · Ameriprise Financial
Services, Inc.
Alireza Zamani · Steel Peak Wealth
Management
Gary Corderman · Halbert
Hargrove
Michael Ladge · Morgan Stanley
David Richardson · HD Vest
Christopher Laubach · Ameriprise
Dennis Rose · Premier Financial
Consultants Page 8
Reza Zamani · Steel Peak Wealth
Management
Jonathan Corob · Wells Fargo
Advisors, LLC
Jin Lee · Mainstream Capital
Partners
Sharone Rotkopf · LPL Financial
Insurance
Robert Dalie · Oppenheimer &
Company
Ryan Liljegren · Ameriprise
James Loken · Thrivent Financial
Jennifer Han Malek · JHM Wealth
Management
Kevin Marumoto · Ameriprise
Shawn McElderry · Monarch
Wealth & Retirement Strategies
Page 10
Alfred McIntosh · McIntosh
Capital Advisors
Gregory Meyer · Pash & Benson
International
Jennifer Mulder · Pathway
Financial Services
Jon Neuhaus · Morgan Stanley
Nicholas Nino · Ameriprise
Rene Nourse · Urban Wealth
Management
Chris Nowakowski · LPL Financial
Joe O’Boyle · Voya Financial
Advisors
James O’Grady · Braemar Wealth
Management
Paul Okawa · Planned Asset
Management
Nikolas Okita · Ameriprise
James Olson · Olson Investment
Management
Amit Patel · Ameriprise Financial
Services, Inc.
Joseph Pates · Ameriprise
Elizabeth Pell · Morgan Stanley
Audrey Pierson · Householder
Group Estate and Retirement
Specialists
Erika Puzik · Ameriprise Financial
Services, Inc.
Theodore Saade · Signature Estate
& Investment Advisors
Charles Salfity · LPL Financial
Investments
Robert Saunders · Morgan Stanley
Marc Ackerman · Wells Fargo
Advisors, LLC
John Schlatter · Salient
Consulting Group
Vivian Afriyie · Morgan Stanley
James M. Schneiderman · Morgan
Stanley
Robert Schwartz · Morgan Stanley
David Shidoosh · Morgan Stanley
Michael Anton · Ameriprise
Sasha Azarmi · Wells Fargo
Advisors, LLC
Ayal Shmilovich · LPL Financial
Robert Baraga · Charles Schwab &
Company
Maria Shtabskaya · Morgan
Stanley
Pamela Bennett · First Republic
Investment Management
Robert Smotherman · Ameriprise
James Berliner · Westmount Asset
Management
Elijah Souza · LPL Financial
Mike Bernard · Bernard & Johnson
Jeff Stark · Jeffrey K. Stark &
Associates
Jorey Bernstein · Morgan Stanley
Quentin Stella · The Stella & Stella
Group/Morgan Stanley
Andrew J. Stout · Stout Wealth
Management/Raymond James &
Associates
Lindsay Bourkoff · Shrier Wealth
Management
Todd Butler · WESCAP Group
Bennett Cale · Cale Financial
Management Page 7
Geoff Delahanty · Thrivent
Financial
Timothy Demshki · RNC Genter
Capital Management
Craig Diamond · Wells Fargo
Advisors, LLC
Nicole Dickerson · Morgan Stanley
Vince Dileva · SEIA
Diane Doolin · Morgan Stanley
Lee Dunayer · The Fortress Group/
Morgan Stanley
Michael Femino · New Economy
Capital Management
Philip Fessler · Wells Fargo
Advisors, LLC
Daniel Fienberg · Wells Fargo
Advisors, LLC
Rhonda Jean Finby · Wells Fargo
Advisors, LLC
Marah Fineberg · Wells Fargo
Advisors, LLC
Joseph Focil · Wells Fargo
Advisors, LLC
John Campbell · LPL Financial
Chris Frantz · Catalina Capital
Group
Nick Takahashi · Morgan Stanley
Ira Candib · California Financial
Partners
Jeffrey Taylor · Ameriprise
Elliott Friedman · Wells Fargo
Advisors, LLC
Michael Cannone · Westmount
Asset Management
Cameron Thornton · CTA Wealth
Advisors
Kevin Friedman · Wells Fargo
Advisors, LLC
Sean Cauvel · Westmount Asset
Management
Bruce Thue · LPL Financial
Alex Ganapolsky · Wells Fargo
Advisors, LLC
Kelly Caves · Morgan Stanley
Christiane Tomasi · CS Tomasi
Wealth Manangement
Hansen Champlin · LPL Financial
Page 9
Greg Garabedian · Garabedian
Wealth Management Group
Gabriel Torres · Morgan Stanley
Yuji Chao · Union Banc
Investment Services Page 7
Jeffrey Germain · Wells Fargo
Advisors, LLC Page 8
Michael James Chibidakis ·
Raymond James Financial
Services
Mike Gleason · Wells Fargo
Advisors, LLC
Bernard Suissa · Morgan Stanley
Eric Toya · Navigoe
Roderick Uy · LPL Financial
Robert Vogelsang · Morgan
Stanley
Lewis Wallensky · Wallensky Spatz
& Associates
Paul Curtis Weiner · LPL Financial
Brian Raat · Wedbush Securities
Jeffrey Westheimer · Lido Advisors
Jorge Ragde · Morgan Stanley
Robert Wheatley · Trilogy
Financial Services
Vicky Rangsuebsin · Ameriprise
Anthony Valazza · Thrivent
Financial
Charlie Yang · Charles Schwab &
Company
Michael Yauch · Morgan Stanley
Ross Gerber · Gerber Kawasaki
Robert Choi · Morgan Stanley
Joshua Goeppner · Ameriprise
Christina Chou · Morgan Stanley
Steve Gonzalez · Edward Jones
James Coco · RJJ Pasadena
Securities
Richard Green · Wells Fargo
Advisors, LLC
Robert Coe · Morgan Stanley
Robert Greene · LPL Financial
Jed Cohen · The Investment
House
Richard Groscost · Wells Fargo
Advisors, LLC
Alexander Runels Cooke ·
Fairfield, Bush & Company
Russell Grossman ·
AllianceBernstein
• 11
WEALTH MANAGER
Joanna Gustilo · Wells Fargo
Advisors, LLC
Christine Lee · Charles Schwab &
Company
Sheryl O’Donnell · Morgan
Stanley Page 9
James Ira Scheinberg · North Pier
Fiduciary Management
Gregory Haendel · Bradford &
Marzec
Ronald Levenson · LPL Financial
David Olnick · Raymond James
Financial Services
John Schnieders · Schnieders
Capital Management
Antwone O’Quinn · Wells Fargo
Advisors, LLC
Adam Scott · Argyle Capital
Partners
David Papale · Wells Fargo
Advisors, LLC
John Scott · Wells Fargo Advisors,
LLC
Craig Pariser · Morgan Stanley
Steven Siskin · Raymond James
Financial Services
Gregg Haglund · Morgan Stanley
Brian Haloossim · Bernstein
Private Wealth Management
Jennifer Hartman · Greenleaf
Financial Group
Jeffrey Harwood · Ventura
Advisors
Paul F. Heising · Moran, Heising &
McElravey
Mariela Henares · LPL Financial
Sean Heslin · TIAA-CREF
Brian Holmes · SEIA
Brad Levin · Legacy Wealth
Partners
Lily Li · Wells Fargo Advisors, LLC
Jeremy Licht · JL Capital
Management
John Lindsey · Lindsey & Lindsey
Wealth Management Page 5
Charlotte Lowe · Wells Fargo
Advisors, LLC
Chris Luechtefeld · Morgan
Stanley
Richard Luechtefeld · Morgan
Stanley
Bonnie Hong · Morgan Stanley
Bruce Mandel · Oakwood Capital
Management
David Horvitz · Cheviot Value
Management
Pedro Marti · Wells Fargo
Advisors, LLC
Matthew Iantosca · Gerber
Kawasaki
Brent Mason · Mason & Associates
Patrick Infante · Wells Fargo
Advisors, LLC
Susan Inwood · Wells Fargo
Advisors, LLC
Christina Jesperson · Retirement
Protection Group
Craig Johnson · Morgan Stanley
Elissa Johnson · Wells Fargo
Advisors, LLC
James Mayorkas · Wells Fargo
Advisors, LLC
Ara Mekhitarian · Wells Fargo
Advisors, LLC
Roger Park · Ameriprise Financial
Services, Inc.
Joseph Pastore · Morgan Stanley
Shawn Patt · Morgan Stanley
Bana Soumetho · Charles Schwab
& Company
Audrey Stansbury · Edward Jones
Dana Pearl · Oppenheimer &
Company
Christine Stern · SAG-AFTRA
Federal Credit Union/LPL
Financial
Anthony Perez · Ameriprise
Joseph Sulentor · Morgan Stanley
John Petrick · Perennial Financial
Services
Shannon Sutherland · Simple
Impact/Commonwealth
Financial Network
Matthew Plunkett · Wells Fargo
Advisors, LLC
Roger Szendrey · Union Banc
Investment Services
Mark Pomerantz · Morgan Stanley
Benjamin Tadelis · Morgan Stanley
Laura Pope · Wells Fargo Advisors,
LLC
Paul Taghibagi · SEIA
Ryan Miller · Morgan Stanley
Caleb Powell · Kayne Anderson
Rudnick
Ryan Millsap · Arenda Capital
Management
Canon Jill Price · Beverly
Investment Advisors
Thomas Morley · Wells Fargo
Advisors Financial Network
Eric Pritz · SEIA
John Tan · LPL Financial
Steven Tornicelli · Wells Fargo
Advisors, LLC
Farah Toutounchian · Wells Fargo
Advisors, LLC
Sara Qazi · Morgan Stanley
David Tracy · Legacy Wealth
Partners
Dorothy Rath · Morgan Stanley
Scott Uffelman · Morgan Stanley
Jeffrey David Moscaret · Moscaret
Investment Advisory
P. Darius Raulinaitis · Morgan
Stanley
Freeman Welch · Wells Fargo
Advisors, LLC
Jeff Murphy · Cue Financial Group
Diana Reyes · Edward Jones
Harold George Nahigian · Cetera
Advisor Networks
Wayne Ribnick · Securities
America
Jeffrey Werdesheim ·
Oppenheimer & Company
Kyle Nakano · Ameriprise
Joe Rubinstein · DSI Wealth
Management Group
Salim Kimiagar · Wells Fargo
Advisors, LLC
Michael Nazarian · Wells Fargo
Advisors, LLC
Jeff Runyan · Runyan Capital
Advisors/Wedbush Securities
David Klatt · RNC Genter Capital
Management
Ken Nguyen · Wells Fargo
Advisors, LLC
Nicole T. Ryan · Cetera Advisor
Networks
Daniel Klein · Morgan Stanley
Christopher Nornberg · Wells
Fargo Advisors, LLC
Richard Ryan · Morgan Stanley
Page 9
Laura Norris · Morgan Stanley
Shannon Ryan · Wells Fargo
Advisors, LLC
Eric Johnson · LPL Financial
Kyle Jones · LPL Financial
Brian Katz · Morgan Stanley
Danilo Kawasaki · Gerber
Kawasaki
Shahab Khavarani · Charles
Schwab & Company
Jennifer Kim · SEIA
Page 4
Hank Krakover · Wells Fargo
Advisors, LLC
Gregory Morse · Wells Fargo
Advisors, LLC
Michael Kramer · Wells Fargo
Advisors, LLC
Jonathan O’Brien · Morgan
Stanley
Greg Kushner · Lido Advisors
Joshua Oder · Oder & Stewart
Investment Management
Page 9
Daniel Ledbetter · Wells Fargo
Advisors, LLC
Alex Salcedo · Wells Fargo
Advisors, LLC
Robert Salvaria · Morgan Stanley
Alan Whitman · Morgan Stanley
Brian Wiese · Morgan Stanley
Michael Wilhite · Morgan Stanley
Stephen Winston · Morgan
Stanley
Drew Zager · Morgan Stanley
Brett I. Zatulove · Morgan Stanley
Taxation
Ronald Morgan · Stern, Kory,
Sreden & Morgan
Kiak Tae · TaeVestment
Trust Services
Simon Rawlinson · Northern Trust
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, Certified Financial Planner™ and the federally registered CFP (with flame logo) in the U.S., which it awards
to individuals who successfully complete CFP Board’s initial and ongoing certification requirements. The Chartered Financial Consultant credential [ChFC®] is a financial planning designation
awarded by The American College.

2016 Los Angeles - Five Star Professional

Transcription

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