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Qualifications of Financial Advisor in Tempe

Each and every financial advisor in our network from large Fortune 500 companies to small independent financial firms are pre-screened for industry experience, disclosures and registrations with SEC and FINRA. Collectively, our Pre-Screened advisors, serve thousands of happy clients, managing billions of dollars and providing financial freedom and security for families and individuals like you.

Financial Advisors in Tempe, Arizona
Financial Advisor Office Location Phone Number
Lennard van der Feltz CFP®, MSM, MBA,
Pinnacle Financial Advisors
2141 East Broadway Road Suite 104,
Tempe, AZ  85282
(480) 641-1315
Jeffrey Wilcock, RFC,
Seros Financial
2141 E. Broadway Rd.,
Tempe, AZ  85282
(480) 967-1155
Adam Harding CFP®,
Harding Investments & Planning
7135 E Camelback Rd,
Scottsdale, AZ  85257
(480) 205-1743
James Golichowski,
Financial Engines Advisors, LLC
3100 West Ray Road,
Chandler, AZ  85226
(480) 946-3626
Luke M. Johnson,
Legend Capital Group, Inc.
6710 N. Scottsdale Road Suite 240,
Scottsdale, AZ  85253
(480) 685-2932
Greg Stott,
Approach Capital Partners
Mesa & Scottsdale,
Mesa, AZ  85205
(480) 993-9733
David Rosenthal, CFP,
Wealth Management Solutions, LLC
8550 E Shea Blvd #130,
Scottsdale, AZ  85260
(480) 609-4334
Joe Vazquez,
Wealth Management Solutions, LLC
8550 E Shea Blvd,
Scottsdale, AZ  85260
(480) 609-4334
Richard Oxford,
Richard Oxford Financial
7010 E Acoma Dr,
Scottsdale, AZ  85254
(602) 697-7657
Erica Gargol & Kerina Graham,
G&G Wealth
6929 E Greenway Parkway #180,
Scottsdale, AZ  85254
(480) 719-7469
Curtis Anderson, CFA®,
Alpha Fiduciary
7010 E. Chauncey Lane #130,
Phoenix, AZ  85054
(888) 562-4033
Michael Gombrich,
Harnden MacLean Wealth Advisors
7992 W Thunderbird Rd,
Peoria, AZ  85381
(623) 972-3133

Information on Qualified Financial Advisors in Tempe

Qualifications CRD# 4630091
Series 7, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee, Hourly

Office Location 2141 East Broadway Road Suite 104,
Phone Number (480) 6411315

With more than three decades of experience in business, holding positions in business operations and information technology, Lennard van der Feltz has dedicated nearly half of his career to financial planning, specializing in investment and insurance optimization for tax efficiency, as well as unique challenges of clients' portfolios. Under the guidance of Lennard and co-founder Susan Talbott, Pinnacle Financial Advisors' planning strategies are customized to clients' risk tolerance, life stage, goals, desire for involvement, asset level, tax sensitivity, and investment experience. Lennard is a CERTIFIED FINANCIAL PLANNER" professional, holds his FINRA Series 7 and 66 securities licenses, and is a member of the Financial Planning Association Phoenix Chapter. He holds Life and Health Insurance and Variable Life and Variable Annuity licenses in Arizona, California, Kansas, Minnesota, Oregon, Texas, and Wisconsin. He attended Nyenrode Business University in The Netherlands, where he developed statistical analysis software, and Washburn University in Kansas where he graduated with a Bachelor of Business Administration in General Business. He earned an MBA in International Finance and Operations at the Thunderbird School of Global Management. He also completed a Master of Science in Management in Decision Information Systems from Arizona State University's W.P. Carey School of Business with an emphasis on artificial intelligence and problem structuring. *** Lennard van der Feltz is a Registered Representative offering Securities through UNITED PLANNERS FINANCIAL SERVICES, Member: FINRA, SIPC. Advisory Services offered through SEROS FINANCIAL, LLC. Pinnacle Financial Advisors, Seros Financial, and United Planners are independent companies.

About Pinnacle Financial Advisors

Since 2005, Pinnacle Financial Advisors has helped individuals, families, and businesses understand their financial opportunities and plan for the future. As nimble, strategic partners, our team brings extensive and diverse experience, with each member possessing a unique skillset and background that provides holistic support. We have first-hand experience tackling all sorts of issues from straightforward circumstances to the most complex cases. At Pinnacle Financial Advisors, we provide more than just financial planning and wealth management. We're friends, colleagues, counselors, and professionals with decades of experience who take the time to get to know you and your unique needs. We value close, long-term relationships, and build them with trust and transparency - the cornerstones of our business. Understanding what matters most to you gives us the knowledge to support you through whatever life has in store. *** Securities offered through United Planners Financial Services, Member FINRA/SIPC. Advisory Services offered through Seros Financial, LLC. Pinnacle Financial Advisors, Seros Financial, and United Planners are independent companies. For information concerning the licensing status or disciplinary history of a broker-dealer or BD agent a consumer should contact his or her state securities law administrator or go to FINRA BrokerCheck www.finra.org. This information is intended for use only by residents of AZ, CA, KS, MN, OR, TX, and WI. Securities-related services may not be provided to individuals residing in any state not listed above. Insurance-related services may not be provided to individuals residing in any states other than AZ, CA, KS, MN, OR, TX, and WI.

Qualifications CRD# 2034946
Series 6, 7, 22, 24, 26, 63, 65, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Hourly

Office Location 2141 E. Broadway Rd.,
Suite 220,
Phone Number (480) 9671155

Jeff began his financial career in 1990 and is currently a Registered Financial Consultant (RFC) and has his series 7, 63, 65 and 24 licenses. Jeff has been a popular seminar speaker and even hosted a series of radio broadcasts on financial matters. Jeff faces each day with a positive optimism that is wildly contagious. Jeff’s clients love their meetings with him and have great deal of respect for what he does. In 2000 Jeff met Bill Kelso CPA, CFP, the two decided to merge and create Alliance Financial Group. That company then combined with Campbell Schoneberger 11 years later, to become Seros Financial. On weekends, Jeff loves spending time with his family. His wife, Kerri, is an amazing decorator (not exaggerating, when you see our office you’ll believe me!) and together they have 4 children. With his love for life, Jeff enjoys nothing more than to be outside jogging, hiking a trail or riding a mountain bike. Jeff has been a leader with the Boy Scouts of America for over 20 years.

About Seros Financial

Most people only get one shot at retirement. That's why we help you take the guess work out of the process. Seros360™ is a seven part mentoring approach to retirement. 1. Goals We build a bridge from your idea of retirement to the real thing. What really matters most to you in retirement and understand the steps needed to reach your goals. 2. Risks Living longer. Rising healthcare costs. Inflation. These are risks everyone faces during retirement. Working together, we can help you identify your risks and plan accordingly. 3. Investments You need an investment strategy that takes into account your retirement goals, how you view risk, and your timeline for retirement. We take a dynamic money management approach in activley monitoring and adjusting your portfolio. 4. Income Income is the engine of your retirement. We help you develop a plan so you take the right amount of income in the most tax efficient way possible. 5. Taxes We help you develop a strategy that balances your tax burden now and throughout retirement. 6. Test Run Why guess about your retirement? Take a Retirement Test Run. This simulated retirement approach lets you actually experience what it will be like to live on the income you'll have during retirement. 7. Retirement With lessons from your Retirement Test Run and adjustments to your plan, you are ready to retire with confidence.

Qualifications CRD# 282686
FirmCRD# 282686
Series 65

Office Location 7135 E Camelback Rd,
Phone Number (480) 2051743

I grew up in a family of various professional advisors, most notably my father who was a trusted advisor for more than 30 years as a CPA. Thus, building a career in wealth management and launching this firm was a natural fit. My financial education started early and has never slowed down to this day. My focus is primarily on portfolio management and comprehensive financial planning for high net worth or high earning individuals, but I consider myself a generalist and my analytical skill set has proven adaptable to many different types of client situations. My education is in Economics (Bachelor of Science, Arizona State University) and the CFP® Curriculum (The American College) which includes courses in Investments, Estate Planning, Income and Tax Planning, Insurance, Retirement Planning, and Life-Cycle Financial Planning. Aside from my work as a financial adviser, I enjoy teaching wealth management courses and have recently offered courses through UCLA’s Business Management and Legal programs. In my personal life, I enjoy spending time with my amazing wife, Mollie, exercising, playing the guitar, being a father to my chihuahua and traveling.

About Harding Investments & Planning

In the most simple terms, helping people navigate life's financial complexities is what we do. This often means providing investment advice, but this investment advice has to reflect the unique challenges, opportunities and resources each investor is faced with. This is why we always make sure a thorough financial plan is completed before we give investment advice. Services we provide include: Comprehensive Financial Planning Investment Management Retirement Plan Consulting (commonly 401(k)) Estate and Gift Planning Insurance Strategies and Risk Management Tax Optimization and Planning Education Planning

Qualifications CRD# 4777918
FirmCRD# 104510
Series 7, 26, 65

Compensation/Fee I am a Fee-Based financial professional

Office Location 3100 West Ray Road,
Suite 201,
Phone Number (480) 9463626

Joined Financial Engines in 2016. Began his career in the financial services industry in 2003. Successfully completed the Series 7, 26 and 65 examination(s) administered by FINRA. Earned the Chartered Retirement Planning CounselorSM (CRPC®) certification(s). Bachelors of Science in Electrical Engineering from Penn State University. Married to Teresa and has 2 children. Enjoys exercise, movies, reading, home improvement projects, volleyball, travel and the beach.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).

Qualifications CRD# 3257008
Series 7, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee

Office Location 6710 N. Scottsdale Road Suite 240,
Phone Number (480) 6852932

Luke M. Johnson is the Founder and Chief Executive Officer of Legend Capital Group, Inc. Prior to launching the firm in 2006, Luke began his career as a financial advisor in 1999 at Robert W. Baird and Northwestern Mutual in Kansas City, Missouri. While there, he excelled at designing customized wealth management and life insurance solutions for his clientele. Today, as a Senior Wealth Advisor, Luke specializes in tactical asset management, retirement income planning, and income tax reduction strategies. In addition, he is highly skilled at identifying and positioning alternative investments within client portfolios in an effort to increase asset allocation and reduce long-term volatility. These investments also can produce high levels of monthly income, which our clients have greatly appreciated. Luke has provided counseling on a wide range of financial matters, and today works closely with affluent individuals, families, private companies, and non-profit organizations in over 20 states. From strategic planning for long-term goals, to succession planning and wealth transfer, Luke brings a wealth of knowledge that encourages creative thought and visionary solutions. His honest and strategic advice has allowed his clients to successfully navigate the ever-changing financial markets for over 18 years. Lukes tax-efficient, investment recommendations are customized for each client and designed to specifically meet their objectives. His expertise allows his clients to feel a sense of confidence and peace of mind, while experiencing a level of best-in-class service that theyve come to expect and deserve.

About Legend Capital Group, Inc.

Our mission is to help our clients and their families achieve and maintain financial peace of mind - preserving the nest egg and wealth they have created and build a legacy for future generations. Our reputation for excellence is earned through the hard work of our highly experienced team who are focused exclusively on the planning of your financial future. As a highly-valued client, you can be certain that Legend Capital's is committed to providing the exceptional client service you expect and deserve. You will benefit from Legend Capital's holistic approach to long-term wealth management and comprehensive planning approach. We customize all investment recommendations for each client - No cookie-cutter portfolios! Our clients come first in everything we do. This shows in the relationships we have built over the years, along with the service we provide to each individual client. I look forward to speaking with you. Thank you, -Luke M. Johnson

Qualifications CRD# 4518393
FirmCRD# 291807
Series 66

Compensation/Fee I am a fee-only financial professional, Based on Assets

Office Location Mesa & Scottsdale,
4320 East Brown Road Ste 112,
Phone Number (480) 9939733

I'm Greg Stott, founder of Approach Capital. I appreciate Wiseradvisor and the forum we have to share ideas and philosophies. Approach Capital is founded on the principals of mountain climbing. Every investor, like a climber, needs a guide to help set the course, navigate the pitfalls and work together to reach your financial summit. As a fiduciary, I take responsibility to act in your best interest. Where do we start, let's understand your history and the plans you have already set in place and build some assumptions around what the future has to offer. We begin with the following analysis: 1. A lifestyle analysis, understanding your balance sheet and your cash flow needs/wants helps provide some insight as to your investment objectives 2. An investment review and portfolio design analysis 3. A cost benefit analysis of what you are paying now as opposed to what you would be paying for guidance 4. A transition and implementation plan I started Approach Capital because I believe the individual investor does not receive unbiased advice in large investment firms (private or public). There are no hidden costs or agendas to working with Approach Capital and I look forward to the opportunity to demonstrate how we can add value to your investments and lifestyle.

About Approach Capital Partners

We manage our client's wealth through a continuous cycle of planning, implementation, evaluation and transitioning as market conditions and personal priorities dictate. We work with our clients to prioritize investment needs and build a plan to meet your needs and wants. Implementation is critical to success. Low cost, tax efficient strategies are part of our recommendations for success. On a regular basis, we meet with our clients to confirm their investments are actually performing as outlined. Preserving and protecting your wealth is our primary responsibility. As you move through life's different stages, our plan evolves with your priorities. We look forward to working with you and appreciate your consideration.

Qualifications CRD# 2680280
FirmCRD# 127517
Series 65

Compensation/Fee I am a Fee-Only financial professional, Based on Assets, Flat Fee, Hourly

Office Location 8550 E Shea Blvd #130,
Phone Number (480) 6094334

About Wealth Management Solutions, LLC

If you are an entrepreneur with a business or are thinking about selling your business, a corporate executive with complex company benefits, a divorcee figuring out your finances, or just looking to retire soon, then my experience will be of benefit to you. Each type of client I work with has a unique set of circumstances and needs, but the common thread is a piece of mind you will get from having a professional manage your assets, provide financial planning expertise and ultimately maximize your wealth. Wealth Management is a combination Investment Management + Financial Planning. I will help you maximize your wealth by managing your investments, income tax planning, estate and gift planning, maximizing your company benefits (401(k), restricted stock, stock options, deferred compensation plans), and when income is needed turning your investments into a reliable income stream. To provide you with a consistent, high-quality level of service, we maintain only a select number of client relationships, and get to know your situation inside and out. This allows us to provide you with timely, personal advice. You can be confident in the advice we give, as we will happily put it in writing. As a client, you will receive detailed follow up emails after our meetings so we can ensure there is no question as to what we are recommending, and why.

Qualifications CRD# 4237649
FirmCRD# 127517
Series 7, 66

Compensation/Fee I am a Fee-Only financial professional, Based on Assets, Flat Fee, Hourly

Office Location 8550 E Shea Blvd,
Ste #130,
Phone Number (480) 6094334

I have been a financial advisor for 15 years. Previously, I worked for a large, well known national discount brokerage firm. Throughout my career I have incorporated my passion for helping others know and understand more about investing into a career which can lead to individuals and families accomplishing their life goals. People often don't discuss money, but as their trusted advisor, I enjoy the opportunity to have candid conversations that can shed light on how the wages of their hard work can end up working for them.

About Wealth Management Solutions, LLC

401k Rollover? You and I may have already met. After a decade of engaging with Fortune 500 companies and their employees to provide education and advice on their retirement plans, I have had the opportunity to speak with hundreds of clients across the country and assist them with their financial goals. Because I have been invited to review and advise on investments for many employers and their employees, there is a breadth of knowledge that many younger advisors and investment salesmen do not have. The 15 years of experience you see to the right of this paragraph --> ensures that you are working with a partner who has helped clients through some of the toughest markets and financial strains encountered in generations. We maintain only a select number of client and family relationships, and get to know your situation inside and out. I will help you maximize your wealth by making the most of your company benefits (401(k) plan, restricted stock, stock options, deferred compensation plans), by managing investments, through income tax planning, estate and gift planning, and when income is needed: by turning your investments into a reliable income stream. You can be confident in the advice we give, as we will happily put it in writing. As a client, you will receive detailed follow up emails after our meetings so we can ensure there is no question as to what we are recommending, and why. Our meetings are never just a review of your most recent statement.

Qualifications CRD# 5475549
FirmCRD# 170884
Series 65

Office Location 7010 E Acoma Dr,
Suite 101,
Phone Number (602) 6977657

Richard Oxford, a third-generation Arizonan, has had a blessed and interesting life. Accepted to the three Service Academies he applied to after high school, he eventually took a different path and graduated from Northern Arizona University. One of the highlights was running on the track team at Navy for two years. Tough times in the late 70's sent him to work with his father in construction, eventually working as everything from a field hand to a superintendent working throughout the Southwest. Tiring of the travel he moved into project management eventually rising to a senior level and managing many large projects including the Eifel Tower replica in Las Vegas. He finished his construction career as VP of Operations for a very large steel firm. Change call and he bought into one of the very first online colleges. Working as COO, he traveled to China and the Middle East in a business development role. He still has ownership. Finally, he found his place as a financial advisor. His favorite business of many that he has enjoyed.

About Richard Oxford Financial

Richard Oxford Financial is a boutique investment advisory firm based in Scottsdale Arizona. We help businesses and families with financial and insurance services using a personalized approach to growing wealth and minimizing your risk. Our consultive approach to retirement planning and business exit strategy helps you prepare and implement a plan to best meet your needs. Whether you need assistance with investment or retirement plan management, pension and social security planning, retirement income planning, insurance planning, wealth-transfer planning, long-term care planning/funding, or tax planning, we're here to help you, your family and heirs. Our motto is, "Plan Early and Plan Often!"

Qualifications CRD# 4542813
Series 6, 7, 63

Compensation/Fee I am a Fee-Only financial professional, Based on Assets, Commissions, Hourly

Office Location 6929 E Greenway Parkway #180,
Phone Number (480) 7197469

As CERTIFIED FINANCIAL PLANNER® Professionals, Kerina and Erica understand that people face unique challenges. With over 40 combined years of experience in the financial industry they have various experiences to complement their comprehensive planning approach. Each plan is tailor-made for a person's unique needs and circumstances. Their partnership began from shared values of integrity, excellent communication, hard work, honesty, & the desire to do the right thing for their clients. Erica has been helping clients achieve their financial goals with LPL since 2003. She started in the industry helping educators with their retirement planning needs. Since then 401k, 403b and IRA retirement planning have become a specialty of hers. Erica assists her clients in maintaining their desired lifestyle throughout the three stages of investing: Accumulation, Conservation, and Distribution. Erica enjoys servicing women investors and follows Dave Ramseys investment philosophy of investing. Kerinas goal of becoming a financial advisor started while in college. She obtained her B.A. in Finance to start her career in financial services. After several years in the industry and wanting to take that next step in her career, she went back to school to obtain her Masters in Business Administration before obtaining her registrations to become a Financial Advisor. While acting in the capacity of a Financial Advisor she has continued to increase her knowledge of the financial markets. In addition to having the required registrations to invest for clients she has studied and passed the exams to hold her series 9 & 10 with LPL Financial.

About G&G Wealth

G&G Wealth is a diversified and experienced team, founded by women, who strive to provide tailored, expert advice on all aspects of wealth management for a select group individuals, families, and businesses both locally and around the country. Our mission and passion is to become a trusted partner to our clients while guiding them through all stages of their financial lives.

Qualifications CRD# 2210739
FirmCRD# 144720
Series 65

Compensation/Fee I am a Fee-Only financial professional, Based on Assets, Flat Fee, Hourly

Office Location 7010 E. Chauncey Lane #130,
Phone Number (888) 5624033

As a fee-only advisory firm, we guide clients on their best path to accumulating, retaining, and transferring wealth using strategies that are tailored to their unique goals. We provide straightforward professional advice that aims to enhance quality of life and leads to realistic, sustainable solutions. We serve as our clients financial advocate and fiduciary, striving to organize and simplify families financial lives in a way that maximizes their enjoyment of their wealth now and in the future.

About Alpha Fiduciary

Thank you for considering Alpha Fiduciary your trusted fiduciary advisor. We live in a dynamic, often scary world, so you'll take comfort that our core beliefs and adaptable investment philosophy were designed for the world we live in. Our experienced and credentialed professionals have personally managed money during the most volatile of times, including the Japanese asset price bubble (ca 1992), the "dot-com" bubble (ca 2000), the U.S. housing/derivatives bubble (ca 2008), and the three bear markets that followed these bubble collapses. We understand that the highest value we can bring to you is an intelligent, adaptable investment philosophy and a careful decision methodology to help you reach your financial goals and keep reactive behaviors in check. We are a fee-only advisory firm and feel we can best express the above beliefs through a "core/tactical" portfolio approach. Core assets include primarily those which provide ongoing exposure to the basic market trends at a low cost. Tactical assets follow a current theme that may play out to the investor's advantage and may even include a defensive posture in cash. We believe our approach provides a sensible blend between cost efficiency and the quest for higher returns. Our focused and experienced investment committee works hard to ensure that your portfolio continues to reflect your goals in various investment climates. Most important, however, we take the time to understand the complexities of your total financial picture so that we can tailor your portfolio to your individual circumstances, income/growth needs, and legacy planning goals.

Qualifications CRD# 6153485
FirmCRD# 6363
Series 7, 66

Compensation/Fee I am a fee-based financial professional, Based on Assets

Office Location 7992 W Thunderbird Rd,
Suite 110,
Phone Number (623) 9723133

Mike Gombrich is a Financial Planner in Peoria, AZ. He has been doing financial planning for almost 6 years and investment management and analysis for 10 years. He is an Accredited Portfolio Manager and a Best Selling author of a personal finance book for Millennials. In 2018, Mike was nominated for the Forbes' List for Top Millennial Wealth Advisors in the country. Mike started his career at Merrill Lynch but left after a few years because he didn't like some abusive sales practices they developed. He found a home at Ameriprise Financial with the largest independent franchise in Arizona. Our team has over 75 years of experience in investments, insurance, tax preparation, retirement income, and estate planning needs. Our Senior Partner and founder, Stephen Harnden, is one of Barron's Top Advisors in the country for the past 3 years. As fiduciaries, we promise to always do the best and right thing for you, even if it means telling you we can't help.

About Harnden MacLean Wealth Advisors

We help our clients achieve their dreams for today, tomorrow, and well into the future using our exclusive Confident Retirement® approach. It starts with a personalized conversation about covering essentials, ensuring lifestyle, preparing for the unexpected and leaving a legacy. By breaking your financial goals down into doable steps, we can help take the uncertainty out of planning for your financial future. Take a few minutes now for a quick confidence check. We're here to help you live the life you've earned. When you have the right financial advisor, life can be brilliant.

List of Additional Financial Advisors in or around Tempe, Arizona
Lincoln Financial Group Scottsdale, AZ