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Qualifications of Financial Advisor in Carlsbad

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 Carlsbad, California
Financial Advisor Office Location Phone Number
Jay Miars, CFP®,
AZCA Financial Group, LLC
2173 Salk Ave,,
Carlsbad, CA  92008
(760) 603-1212
Shane Terry,
The Budin Group
1901 Camino Vida Roble,
Carlsbad, CA  92008
(760) 858-2080
Rodd Miller, CFP®,
Miller Wealth Management
1901 Camino Vida Roble,
Carlsbad, CA  92008
(760) 856-4428
Scott McClatchey, CFP®,
WWM Financial
2131 Palomar Airport Road,
Carlsbad, CA  92011
(760) 692-5196
Robert Chapman, AIF,
Pacific Crest Global Wealth Management
2131 Palomar Airport Rd.,
Carlsbad, CA  92011
(858) 755-9192
Michael Harris,
TriVant Custom Portfolio Group, LLC
600 West Broadway, Suite 225,
San Diego, CA  92101
(619) 286-3930
Simon Reeves,
TideRock Financial
30 Enterprise, Suite #190,
Aliso Viejo, CA  92656
(877) 433-3665
Rick Donnelly,
Financial Engines Advisors, LLC
2040 Main Street,
Irvine, CA  92614
(424) 365-6153

Information on Qualified Financial Advisors in Carlsbad

Qualifications CRD# 1909437
FirmCRD# 29604
Series 7

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


Office Location 2173 Salk Ave,,
Ste 250,
Carlsbad,
CA 
92008

Phone Number (760) 6031212

About AZCA Financial Group, LLC

Success for the long run requires the prudent combination of timely, appropriate wealth management strategies with a personal advisory relationship that stands the test of time. Wealth Advisors represents a new generation of financial services, offering complete integration of services for high-net-worth individuals through a single access point.



Qualifications CRD# 2733682
FirmCRD# 6413
Series 4, 7, 8, 24, 63, 66

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


Office Location 1901 Camino Vida Roble,
Suite 112,
Carlsbad,
CA 
92008

Phone Number (760) 8582080

Shane joined The Budin Group with nearly two decades of experience in the financial industry. As a native Coloradan, he graduated from Colorado State University with a Bachelor of Science degree in Finance. Shane's career began at Invesco Funds group as a Retirement Specialist. Moving on to California in 1997, he advanced through the ranks of management at TD Ameritrade before joining LPL Financial in 2004 where he was Vice President of the Service Center. At LPL, he interacted with thousands of advisors and decided The Budin Group was the team he wanted to align with for the next phase of his career. Shane's holds the FINRA Series 4, 7, 8, 24, 63, and 66 registrations with LPL Financial. Shane is married to Krista and has two daughters Kaitlyn and Emily. He is very active in the community and enjoys camping with his family, sports, exercise, and travel.

About The Budin Group

For more than a decade, The Budin Group has been helping motivated clients strive to experience the exhilaration of financial freedom. We educate our clients about all aspects of money management. As a result, you will feel involved with your investment strategy. Many years working with the local media has taught us how to take complex issues and make them easier to understand. We measure our success by more than the numbers. As long as we are keeping you focused on your long-term goals and desires, we are doing our job successfully. Why not have one less worry? We want you to play golf, spend time with your family, see the world, pursue your dreams and most importantly, enjoy life. Our dedicated and talented service team aims to provide a first-class client experience. Open communication is essential to a successful client relationship. We are proactive in contacting our clients -- if we don’t hear from you, you will hear from us. All phone calls and emails will be returned in a timely manner. In our never-ending commitment to improvement, we always value your feedback. We invite you to join us on the road to your financial destination!



Qualifications CRD# 4984062
FirmCRD# 6413
Series 7, 24, 66

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


Office Location 1901 Camino Vida Roble,
Suite 112,
Carlsbad,
CA 
92008

Phone Number (760) 8564428

Rodd R. Miller, CFP® is the Founder and President of Miller Wealth Management ("Miller") and is an LPL Registered Principal. He is a CERTIFIED FINANCIAL PLANNER professional and member of the FPA (Financial Planning Association). The CFP® mark is earned by those who have met rigorous experience, education, and ethical requirements, and have passed the comprehensive CFP® Certification Examination. Additionally, Mr. Miller holds the FINRA Series 7, 66, and 24 securities registrations with LPL Financial and state insurance licenses in California, Arizona, Texas, and Alabama. Mr. Miller serves clients in California, Arizona, Texas, Colorado, Wyoming, and Alabama. Prior to founding Miller, he was part of an advisory team at First Allied Securities specializing in retirement income planning. Prior to working with individual clients, his experience in finance included private equity, mergers & acquisitions, investment banking, and real estate. Today, Rodd views his role as that of a family CFO overseeing strategic decisions and execution on a wide array of his client's financial matters. With diverse experience, he offers his multifaceted professional finance experience to select families and organizations in need of strategies to face financial challenges for today and beyond. Throughout his career, Rodd has designed and delivered educational seminars on various investment strategies including programs designed to pursue the goal of retirement income. He has also completed extensive due diligence requirements on alternative investments and authored business reports, valuations, and fairness opinions.

About Miller Wealth Management

Miller Wealth Management is an independent wealth management firm dedicated to helping our clients pursue important milestones throughout their financial life. Our experience and knowledge allows us to design and implement comprehensive strategies tailored specifically to your unique financial needs. Building trust with our clients is the cornerstone of our business. Our relationship-focused business helps our clients feel comfortable and confident with us. With Miller Wealth Management at your side, you benefit from our steadfast commitment to always place your best interests first. You can count on us to focus on your complete financial well-being and offer honest communication, prompt response, and an ongoing, consultative approach to managing your wealth.




Qualifications CRD# 5116709
FirmCRD# 157620
Series 66

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


Office Location 2131 Palomar Airport Road,
Suite 330,
Carlsbad,
CA 
92011

Phone Number (760) 6925196

Scott began his financial services career in 2006 as an independent financial advisor with Raymond James Financial Services. He then co-founded Alliance Investment Planning Group in December 2007 with 3 partners. Alliance Investment Planning Group is based in Carbondale, IL and is affiliated with LPL Financial Services. He became a CERTIFIED FINANCIAL PLANNERTM in 2011, enabling him to provide clients a more holistic solution spanning investments, insurance, retirement planning, estate planning, and tax mitigation strategies. In April 2017, Scott joined WWM Financial as a wealth advisor and CFP®. At WWM, he specializes in financial planning and investment strategies for business owners, company executives, professionals, and high net worth individuals and families. Prior to entering the financial services industry, Scott had a 22-year career in the satellite communications industry. He has BS and MS degrees in Electrical Engineering from the University of Illinois and an MBA from UCLA. Scott likes to stay active by volunteering and giving back to his community. He’s a member of the Carlsbad Rotary Club and Chamber of Commerce. Scott served as president of the local Kiwanis Club and Public Broadcasting Board while in Carbondale. Scott is a lifetime runner, avid reader, dog lover, devoted husband and father, craft beer enthusiast, and music lover. He has been married for 34 years and has 2 adult children. He and his wife Kay live in North County San Diego with their golden retriever Biscuit.

About WWM Financial

WWM Financial is an independent Carlsbad-based wealth management firm established in 2011 with experience dating back to 1983. WWM knows what it takes to get through the many minefields of financial planning, wealth management, and generational wealth transfers. We attempt to detect and address the financial blind spots that might not be apparent to our clients. In this way, we are committed to helping clients plan for their financial futures and those of generations to come. Our advisors are seasoned professionals who provide unbiased recommendations free from the potential conflicts of interest that are possible with many of the major banks and Wall Street firms. As an independent Registered Investment Advisory (RIA) firm, WWM Financial is not restricted to a limited pool of investment products. Rather, we can access the best-suited investment options for each of our unique clients. WWM is a principal-driven firm, and our clients work with our firm’s decision makers – professionals who have proven track records as investment advisors and wealth managers. We help our clients develop customized strategies to grow and preserve their wealth and attain their financial goals based upon individual risk tolerance and future plans. Goals and resources change over time for most people, which is why we plan regularly scheduled meetings for each client to talk about any changes that might have occurred and make adjustments to their plans, if necessary.



Qualifications CRD# 131780
FirmCRD# 131780
Series 7, 24, 63 Life & Health

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


Office Location 2131 Palomar Airport Rd.,
Suite 204,
Carlsbad,
CA 
92011

Phone Number (858) 7559192

Robert provides independent wealth management, financial planning and asset management solutions to individuals, families and business owners. Robert implements a global approach from two points of view. First, on an individual basis, in an effort to embrace all the goals and aspirations of the client's wish list and secondly, by taking a global approach to investing and seeking opportunities inside AND outside the U.S. Tax situations are carefully reviewed and honored, so that portfolios are designed to maximize tax efficiency - keeping more for the client, their future generations and/or charities. Services are usually provided on a fee-based and assets-under-management model, where the advisor is compensated on an annual basis of somewhere between .9 -1.75%, depending on the size of the portfolio. Traditional transactional models are also available where appropriate. As an independent advisor, Robert offers no proprietary products and has no sales quota pressure. True independence provides the freedom to make sound investment recommendations and build solid financial plans that are truly in the best interest of the client. Registered Principal offering securities and advisory services through Independent Financial Group, LLC (IFG), a registered broker-dealer and investment advisor. Member FINRA/SIPC. Pacific Crest Global Wealth Management and IFG are unaffiliated entities. Licensed to sell securities in the following states: CA, FL, HI, VA, WA, UT.

About Pacific Crest Global Wealth Management

Discover a comprehensive wealth management firm located in the north county of San Diego, CA that brings a world of unbiased, independent investment knowledge to affluent families throughout the United States. At Pacific Crest, we address everything we do by considering how we would want to be treated by the very best of professional advisors. We manage each portfolio with the care and prudence we use in managing our own family and personal investments. Registered Principal offering securities and advisory services through Independent Financial Group, LLC (IFG), a registered broker-dealer and investment advisor. Member FINRA/SIPC. Pacific Crest Global Wealth Management and IFG are unaffiliated entities.



Qualifications CRD# 4633619
FirmCRD# 129803
Series 65

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


Office Location 600 West Broadway, Suite 225,
San Diego,
CA 
92101

Phone Number (619) 2863930

Michael has almost two decades of experience in the area of investment management. Prior to joining TriVant, Michael worked as a trader, research analyst and portfolio manager at two Southern California-based high net worth investment firms. Michael has been a San Diego resident for his entire life. He earned his undergraduate degree from the University of California, Los Angeles and his MBA from San Diego State University. He holds the Chartered Financial Analyst (CFA) designation and is a member of the CFA Institute and the CFA Society of San Diego. Michael lives in La Mesa with his wife, Cindi, and their two children. Michael is very active in the San Diego community. He is currently serving on the Home of Guiding Hands Board of Directors, as the Treasurer. He previously served on the board of directors for Sports 4 Exceptional Athletes and as a governing board member of Helix Charter High School.

About TriVant Custom Portfolio Group, LLC

We are long-term investors that have a record of providing a good return and good service to our clients. We are transparent in how we serve our clients. We make understandable investments in publicly-traded assets. We never tie your money up in illiquid assets, annuities or private equity. You always have access to your money when you need it. Our clients have security in knowing their assets are held at Charles Schwab where they can review their accounts at any time. Our statements clearly show your investments, their values and your performance. By operating transparently, we give our clients peace-of-mind showing them that we invest in a straight-forward manner and that we are advising in their best interest.



Qualifications CRD# 2835991
FirmCRD# 155622
Series 65

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


Office Location 30 Enterprise, Suite #190,
Aliso Viejo,
CA 
92656

Phone Number (877) 4333665

Simon brings 20 years of investment experience to his role as Founder and Chief Executive Officer of TideRock Financial. He specializes in advising wealthy families and high-net worth individuals to help them achieve their long-term investment goals, including estate and heritage planning. As a former Wall Street trader, Simon utilizes his unique investment insight to create globally diversified, tax-efficient portfolios based on solid academic research and an in-depth analysis of economic, political, and social developments around the world. His clients include current and former professionals at the top of their respective fields, including CEOs, entrepreneurs, hedge fund managers, and attorneys. Simon currently serves on the Board of Directors of Saddleback Memorial Foundation. As a member of the Board's Investment Committee, he helps one of Orange County's leading non-profit hospital systems to invest its substantial portfolio and further its mission. Prior to becoming an independent wealth manager, Simon was the Founder and President of his own options trading company on the floor of the American Stock Exchange in New York. There he generated significant profits utilizing risk-averse trading strategies, eventually expanding his company to include traders on the floors of the American Stock Exchange, Chicago Board of Trade and Philadelphia Stock Exchange. Born and raised in New York City, Simon holds a B.A. degree from the University of Michigan with an emphasis on global economics.

About TideRock Financial

Simon brings 20 years of investment experience to his role as founder and chief executive officer of TideRock Financial. He specializes in advising wealthy families and high-net worth individuals to help them achieve their long-term investment goals, including estate and heritage planning. As a former Wall Street trader, Simon utilizes his unique investment insight to create globally diversified, tax efficient portfolios based on solid academic research and an in-depth analysis of economic, political, and social developments around the world. His clients include current and former professionals at the top of their respective fields, including CEOs, entrepreneurs, hedge fund managers, and attorneys.




Qualifications CRD# 4378370
FirmCRD# 104510
Series 7, 31, 66

Compensation/Fee I am a Fee-Based financial professional


Office Location 2040 Main Street,
Suite 150,
Irvine,
CA 
92614

Phone Number (424) 3656153

Joined Financial Engines in 2017. Began his career in the financial services industry in 2001. Successfully completed the Series 7, 31, and 66 examination(s) administered by FINRA. Rick grew up in New York, but has lived in Newport Beach CA for 15 years. Married and has three children. In his free time he enjoys playing golf and tennis.

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).



List of Additional Financial Advisors in or around Carlsbad, California
Covey & Covey San Diego, CA
Locklin Financial Temecula, CA

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