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Find the Best Financial Advisors in Alabama

Alabama is a diverse state with a population of over 5 million people. Compared to other states, Alabama offers a promising environment for financial growth with a cost of living 12% lower than the national average. Therefore, providing residents with further opportunities to shape their financial future. If you're seeking ongoing assistance from a trusted financial advisor in Alabama, WiserAdvisor's directory of ranked financial advisors can be a great starting point for your search. Fiduciary financial advisors and financial advisory firms listed below are vetted for their years of experience, compensation methods, and registration status with FINRA and the SEC. Additionally, our free match service can connect you with qualified and trusted financial advisors in Alabama. These professionals are experienced in navigating various financial matters such as retirement planning, investment strategies, wealth management, financial planning, estate planning, and more.

Finding the Top Financial Advisor in Alabama

Last Updated - February 23, 2024

Alabama has 2 WiserAdvisor vetted Financial Planners and Advisors on the online list below for you to choose from. These financial advisors in Alabama have an average of 28 years of experience.

NOTE: The list of vetted financial advisors in Alabama mentioned below does not include all the advisors in our network due to their compliance listing restrictions. More vetted advisors may be available when you use our free match service to compare financial advisors near you in Alabama.

List of Qualified Financial Advisors in Alabama

Financial Advisor Experience AUM Minimum Assets Fee Structure
Jeremy W. Young
LEGACY ADVISORY GROUP
36 Manning Place,
Suite 200,
Birmingham, AL 35242
16 Years Not Specified $0 Fee-Based
Ron Moody
CFP®, CSA®, CRPC®
OAK TREE FINANCIAL SERVICES, LLC
120 Holmes Ave NE, STE 305,
Huntsville, AL 35801
41 Years $110,000,000 $100,000 Fee-Based

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Information on Qualified Financial Advisors in Alabama

Qualifications CRD# 5461123
Firm CRD# 5461123
Series 6, 26, 63, 65

Compensation/Fee Fee-Based


Office Location 36 Manning Place,
Suite 200,
Birmingham,
AL
35242
Phone Number 205-991-5017

Jeremy Young brings a breath of fresh air to the financial services industry. With over 15 years of experience as a financial advisor, Jeremy offers the depth of knowledge and integrity that you should require of your financial professional. Jeremy and his associates believe each client deserves a personalized approach to solving their financial concerns and providing families guidance to meet their financial needs. Jeremy Young is a Birmingham, Alabama native and a Briarwood Christian school alumnus. Jeremy has long been passionate about helping others and prior to becoming a financial professional he spent four years in the health and wellness field where he was sole owner of a local fitness and nutrition shop. In 2007, Jeremy obtained his securities license in addition to his life insurance license. As he developed an extensive client base and his business matured, Jeremy obtained his managing principal license and fee-based planner designation which allowed him to oversee other financial professionals and offer more products to affluent investors. In 2010 Jeremy became Regional Vice President and in early 2015 he became a Senior Vice President with his previous firm. In the fall of 2015 Jeremy founded Legacy Advisory Group and became an independent financial professional where he could develop financial plans for individuals and families without being captive to only a company's proprietary products. This truly allows Jeremy to work for his client's unique needs and offer a wide array of products to fit their goals. Jeremy extends his knowledge to local businesses and non-profits by providing "Financial Wellness" seminars. Everyone's situation is unique! You will see first-hand how Jeremy and the team of specialists at Legacy Advisory Group help you develop a personalized financial plan tailored to your needs. Jeremy attributes much of the character traits that have helped him succeed as a financial advisor to the lessons he learned at Briarwood and playing football under the leadership of the great coach Fred Yancey. The championship mentality, work ethic, and character that Jeremy developed in those few short years of playing High School football have made a lasting impact in Jeremy's life today.

About Legacy Advisory Group

Legacy Advisory Group

The team at Legacy Advisory Group has extensive financial services experience and steadfastly upholds the highest ethical standards. We are committed to providing Customized, Comprehensive, Conscientious and strategic financial solutions through access to a full range of financial services and solutions. Financial planning allows you greater individual freedom to be at your best while at work and especially at home. Our financial professionals are equipped with innovative industry tools, processes and products to prepare customized financial plans which provide a comprehensive and conscientious approach to your family's requirements. As financial planners, your goals become our objectives!

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Insurance Products & Annuities


Qualifications CRD# 1002081
Firm CRD# 6413
Series 7, 8, 63, 65

Compensation/Fee Fee-Based, Hourly, Commissions, Flat Fee, Based on Assets


Office Location 120 Holmes Ave NE, STE 305,
Huntsville,
AL
35801
Phone Number 256-704-9400

Ron Moody is the founder and Chief Investment Officer of Oak Tree Financial Services, LLC. Ron has been involved in the financial services industry since 1981. He graduated with a bachelor's degree from the University of Alabama. Ron holds the designations of CERTIFIED FINANCIAL PLANNER® professional and Chartered Retirement Planning Counselor® from the College of Financial Planning, Certified Senior Advisor®, and is a member of the Financial Planning Association. Ron holds various securities registrations with LPL Financial including Series 63, 7 and 8; Series 65 held with Oak Tree Financial Services. His extensive background and knowledge in the investment, estate and retirement planning fields help Ron to provide outstanding service to his clients. Because Ron is challenged by the financial market, he approaches his job enthusiastically. He has dedicated himself to long hours and staying up to date through continuing education courses. It is through this effort that Ron feels he can best serve the people he works for, his clients, and help them achieve the "work optional" lifestyle. Ron's knowledge in the financial services arena has helped him to conduct numerous seminars and workshops on investments and estate planning. Through outstanding service and a commitment to excellence, Ron has built a solid client base and cares deeply for his clients' success.

About Oak Tree Financial Services, LLC

Oak Tree Financial Services, LLC

Founded in 2009, Oak Tree Financial Services, LLC has a combined 80+ years of financial service experience across 4 different advisors. Securities are offered through LPL Financial, LLC, an SEC registered investment adviser and member FINRA/SIPC broker/dealer. This allows Oak Tree to maintain the "small town" look and feel, while still being backed by the support and technology of a Fortune 500 company. Our goal at Oak Tree is not to see how large we can become, but how small we can remain so that we build long term relationships and you receive the individual service that you deserve and expect.

Advisory Services Provided:

Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities


Customer Reviews

The client testimonials appearing above may not necessarily be representative of all client experiences with WiserAdvisor. You may click on the number of total reviews hyperlinked above to review the entirety of the reviews WiserAdvisor has received. WiserAdvisor did not pay any compensation in consideration of such reviews.

Top Financial Advisor Firms in Alabama (Ranked by AUM)

Firm Name No. of Advisors No. of Clients AUM Fee Structure
HIGHLAND ASSOCIATES INC
2545 Highland Avenue South, Suite 200, Birmingham, AL 35205
20 70 $25,621,167,078
A Percentage of AUM, Fixed Fees
REGIONS INVESTMENT MANAGEMENT, INC.
1900 5th Avenue North, Sixth Floor, Birmingham, AL 35203-2618
29 2 $15,576,353,344
A Percentage of AUM
HARBERT FUND ADVISORS, INC.
2100 Third Avenue North, Ste 600, Birmingham, AL 35203
165 57 $8,104,824,585
A Percentage of AUM, Performance Based
VULCAN VALUE PARTNERS LLC
Three Protective Center, 2801 Highway 280 South, Ste 300, Birmingham, AL 35223
55 476 $8,102,484,548
A Percentage of AUM, Performance Based, Other (A PERCENTAGE OF ASSETS UNDER ADVISEMENT)
ARLINGTON PARTNERS LLC
The John Hand Building, 2000 Morris Avenue, Suite 1300, Birmingham, AL 35203
39 978 $6,097,070,330
A Percentage of AUM, Hourly charges, Fixed Fees, Performance Based, Other (PERCENTAGE OF ASSETS UNDER ADVISEMENT)
WAVERLY ADVISORS, LLC
600 University Park Place, Suite 501, Birmingham, AL 35209
83 6702 $5,775,807,497
A Percentage of AUM, Hourly charges, Fixed Fees
RESOURCE MANAGEMENT SERVICE, LLC
31 Inverness Center Parkway, Suite 200, Birmingham, AL 35242
159 13 $4,875,730,000
A Percentage of AUM, Performance Based
APTUS CAPITAL ADVISORS, LLC
265 Young Street, Fairhope, AL 36532
21 8824 $4,249,213,318
A Percentage of AUM, Fixed Fees
STONEGATE INVESTMENT GROUP, LLC
2005 Stonegate Trail, Suite # 101, Birmingham, AL 35242
13 2425 $4,123,618,203
A Percentage of AUM, Fixed Fees
CONCOURSE FINANCIAL GROUP ADVISORS
2801 Highway 280 South, Birmingham, AL 35223
1006 21163 $4,020,536,897
A Percentage of AUM, Hourly charges, Fixed Fees, Commission Based
RFG ADVISORY, LLC
1400 Urban Center Drive, Suite 475, Vestavia Hills, AL 35242-2245
195 16034 $2,996,872,822
A Percentage of AUM, Hourly charges, Fixed Fees
JOHNSON STERLING, INC.
820 Shades Creek Parkway, Suite 3200, Birmingham, AL 35209
12 395 $2,603,892,803
A Percentage of AUM, Hourly charges, Fixed Fees
KEEL POINT, LLC
100 Church Street, Suite 500, Huntsville, AL 35801
83 4850 $2,549,034,075
A Percentage of AUM, Hourly charges, Fixed Fees, Performance Based
SA STONE INVESTMENT ADVISORS INC.
2 Perimeter Park South, Suite 500 West, Birmingham, AL 35243
282 10844 $2,530,194,219
A Percentage of AUM, Hourly charges, Fixed Fees
THE WELCH GROUP, LLC
3940 Montclair Rd, Fifth Floor, Birmingham, AL 35213
25 3519 $2,522,233,225
A Percentage of AUM, Hourly charges, Fixed Fees

    Frequently Asked Questions

    When choosing a financial advisor in Alabama, it's important to consider key factors including an advisor's qualifications, experience, and method of compensation. Additionally, it's important to consider their investment philosophy, approach to financial management, and whether a financial advisor is bound to act in your best interests. To ensure you are making an informed decision and choosing the right financial advisor to manage your finances, learn more about the different types of financial advisors so you can ensure that you choose one that best fits your needs.

    A financial advisor in Alabama can assist with retirement planning by assessing your current financial situation, including income, expenses, assets, and liabilities, to determine your retirement goals and estimate the amount of savings required. They can then develop a personalized retirement plan tailored to your specific needs, considering factors like your desired retirement age, lifestyle expectations, and risk tolerance. Advisors can help you choose appropriate retirement accounts, such as IRAs or 401(k)s, and guide you in making investment decisions to grow your retirement savings. They can also analyze your Social Security benefits and provide the guidance you need for a successful retirement. If you are seeking to learn more about how a financial advisor can help you secure your financial future in retirement, learn more about why you should hire a retirement advisor.

    The cost of hiring a financial advisor in Alabama varies depending on the advisor's experience, services, and fee structure. Financial advisors typically charge a percentage of assets under management, ranging from approx. 1.02% or a fixed rate of approx. $7,500 and above. Meanwhile, other advisors charge an hourly rate, flat fees, or based on commission. It's important to understand an advisor's fee structure and any potential conflicts of interest before engaging in their services. To get a better understanding of how financial advisors charge and the factors influencing their fees, read more on the costs of hiring a financial advisor.

    There are multiple benefits to hiring a financial advisor in Alabama. As a client, you can gain some peace of mind knowing you're making informed financial decisions due to your advisor's knowledge and years of relevant experience working with Alabama residents. A financial advisor can also potentially minimize investment risks and lead to more returns on your investments. Additionally, an advisor will review your investments regularly and provide ongoing support to help you stay on track toward your financial goals. To learn more, read about the benefits of working with a financial advisor.

    In Alabama, financial advisors are typically required to have qualifications that comply with state and federal regulations, such as hold licenses as investment advisor representatives (IARs) and often have credentials such as Certified Financial Planners (CFP), Chartered Financial Analysts (CFA), Chartered Financial Consultants (ChFC), and more. Click the "View Full Profile" button of each advisor listed in the directory for the state of Alabama to further explore a specific financial advisor's qualifications.

    Yes, a financial advisor in Alabama can provide guidance on local tax strategies and exemptions unique to the state. Alabama has its own state tax laws and regulations, including income tax, property tax, and other local taxes. A knowledgeable financial advisor in Alabama can help individuals and businesses navigate these specific tax requirements, identify potential tax-saving opportunities, and ensure compliance with local tax laws. To learn more, read about how a financial advisor can help you manage your finances.

    Yes, there are financial advisors in Alabama who specialize in retirement planning for state-specific pension plans. These advisors have a deep understanding of the retirement benefits offered by the state and can help you navigate the complex rules and regulations associated with these plans. They can provide guidance on optimizing your pension benefits, and retirement income strategies and coordinating them with other sources of retirement income. However, the WiserAdvisor directory for the state of Alabama may not include advisors who specialize in providing retirement planning services for state-specific pension plans. In the "Advisory Services Provided" section, you will be able to confirm if retirement planning is among the services an advisor offers.

    The role of a financial advisor is to provide professional financial guidance, advice, and money management services to individuals or businesses. They assist clients in various financial matters, including investment management, retirement planning, wealth management, estate management, and more, depending on the needs of an individual. Financial advisors assess their client's financial goals and risk tolerance and stay updated on market trends, investment options, and regulatory changes to provide informed advice. Additionally, financial advisors often act as fiduciaries, putting their client's best interests first while providing ongoing support and monitoring to help clients achieve their financial objectives. To make sure your best interests are being considered, read more about the role of a fiduciary financial advisor and the support they can provide.

    To check if a financial advisor in Alabama has any disciplinary actions or complaints filed against them, you can use the Financial Industry Regulatory Authority's (FINRA) BrokerCheck tool. This tool enables individuals to complete a thorough background check on financial professionals like brokers, brokerage firms, financial advisors, investment advisors, advising firms, etc. The detailed information provided through BrokerCheck includes their employment history, certifications, licenses, and active or past violations within the last ten years so that you can make an informed decision while hiring an advisor. We recommend using this guide on how to use BrokerCheck to evaluate a financial advisor's credentials.

    Yes, there are financial advisors in Alabama who specialize in retirement planning for high-net-worth individuals. These advisors typically have expertise in addressing the specific needs and goals of high-net-worth clients and managing complex financial situations. They can also provide guidance on investment strategies, tax planning, wealth preservation, and legacy planning to optimize retirement outcomes for individuals with significant wealth. For additional information, refer to our guide on retirement planning for high-net-worth individuals.

    To effectively manage your retirement portfolio in Alabama, start by assessing your current financial situation, including income, expenses, assets, and debts. Followed by setting clear retirement goals based on your desired lifestyle and age of retirement, diversifying your portfolio to manage risk, and regularly reviewing and adjusting your investments as necessary based on market trends. While managing your portfolio independently can be appealing, consider the benefits of working with a professional financial advisor who can offer personalized guidance tailored to your specific needs. To make informed decisions about managing your retirement portfolio, read DIY money management vs. hiring a professional for your financial needs to learn more.

    When choosing a financial advisor, it's crucial to avoid common mistakes such as overlooking credentials, neglecting to assess experience and track record, overlooking conflicts of interest, not seeking references or reviews, and neglecting to discuss the advisor's fee structure. By avoiding these mistakes, you can make a more informed decision and select a financial advisor who is qualified, experienced, unbiased, and aligned with your financial goals. To learn more, refer to our guide on choosing the best financial advisor in Alabama.

    Yes, financial advisors in Alabama can provide valuable guidance and support regardless of the size of your portfolio. Even with a small amount to invest, an advisor can help you develop a tailored plan to reach your financial goals, mitigate risks, and make informed financial decisions. To explore how financial advisors can assist with investment management and grow your portfolio, read more about the impact of asset allocation on your portfolio.