There are hundreds of financial professionals in your area. However, choosing the right advisor that understands your financial situation and meets your needs may be quite daunting. WiserAdvisor has a network of vetted financial advisors and advisory firms and has listed them below. You can find the details of each advisor, such as their qualifications, service offerings, etc. that you could use while searching for the financial advisor that best suits your financial and investment goals.
We have been in business for the last 2 decades and constantly update and maintain a highly trusted directory of vetted fiduciary advisors that meet rigorous standards.
Stockton
has
12
WiserAdvisor vetted Financial Planners and Advisors for you to
choose from and
22
non-vetted advisors in your local area. These financial advisors in
Stockton, California
have an average of
16
years of experience.
NOTE: The list of financial
advisors in
Stockton, California
mentioned below do 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
Stockton, California.
Qualified Financial Advisors in Stockton, California | ||||
---|---|---|---|---|
Financial Advisor | Experience | AUM | Minimum Assets | Fee Structure |
Ken Sakamoto
CRPC® EDELMAN FINANCIAL ENGINES, LLC 4301 Hacienda Drive, Suite 100, Pleasanton, CA 94588 |
41 | Not Specified | Not Specified | Fee-Based |
Kevin Duffy
CFP®, MSF ALLWORTH FINANCIAL 8775 Folsom Blvd Suite 100, Sacramento, CA 95826 |
Not Disclosed | Not Specified | Not Specified | Fee-Based |
Ted Smalling
CFP®, MBA ALLWORTH FINANCIAL 8775 Folsom Blvd Suite 100, Sacramento, CA 95826 |
Not Disclosed | Not Specified | Not Specified | Fee-Based |
Ken Sakamoto
CRPC® EDELMAN FINANCIAL ENGINES, LLC 2175 North California Boulevard, Suite 800, Walnut Creek, CA 94596 |
16 | Not Specified | Not Specified | Fee-Based |
Eddie Lee
EDELMAN FINANCIAL ENGINES, LLC 3945 Freedom Circle, Suite 950, Santa Clara, CA 95054 |
16 | Not Specified | Not Specified | Fee-Based |
Andrew Kessler
CFP® ALLWORTH FINANCIAL 1550 The Alameda, Suite 125, San Jose, CA 95126 |
Not Disclosed | Not Specified | Not Specified | Fee-Based |
Tad Doughty
ChFC®, CFS® ALLWORTH FINANCIAL 3017 Douglas Blvd, Roseville, CA 95661 |
Not Disclosed | Not Specified | Not Specified | Fee-Based |
Zach Lindemann
CFP® EDELMAN FINANCIAL ENGINES, LLC 1112 Galleria Boulevard Suite 1602901 Douglas Blvd Suite 250, Roseville, CA 95661 |
8 | Not Specified | Not Specified | Fee-Based |
Personal Capital
PERSONAL CAPITAL 3 Lagoon Drive, Suite 200, Redwood City, CA 94065 250 Montgomery Street, San Francisco, CA 94104 250 Montgomery Street, San Francisco, CA 94104 |
11 | $22,400,000,000 | $100,000 | Fee-Based |
Cynthia Leal
Certificate in Blockchain and Digital Assets℠, CRPC® EDELMAN FINANCIAL ENGINES, LLC 3950 Civic Center Drive,, Suite 315, San Rafael, CA 94903 |
17 | Not Specified | Not Specified | Fee-Based |
Qualifications
CRD# 1095790
Firm CRD# 104510
Series 65
Compensation/Fee Fee-Based
Office Location
4301 Hacienda Drive, Suite 100,
Pleasanton,
CA
94588
Phone Number
925-660-4720
I provide my clients with holistic advice designed to help protect and grow their wealth so they can achieve their financial goals. My wife Jaclynn and I have one daughter. Originally from Hawaii, I enjoy working out and keeping fit.
Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.
Qualifications
CRD# 2673236
Firm CRD# 111167
Compensation/Fee Fee-Based
Office Location
8775 Folsom Blvd Suite 100,
Sacramento,
CA
95826
Phone Number
888-242-6766
Kevin Duffy is a CERTIFIED FINANCIAL PLANNER™professional with over 25 years of financial sector and advisory experience. He holds a Master of Science degree in Finance from George Washington University in Washington, DC. In his spare time, Kevin skis, plays the violin, and volunteers in the Sacramento region at various community organizations.
Based out of Sacramento, California, Allworth Financial is an independent financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement. The firm, which was founded in 1993, has grown to serve more than 12,000 clients and manages over $10 billion in client assets.
Advisory Services Provided:
Retirement Planning, Tax Advice and Services, Estate Planning & Trusts
Qualifications
CRD# 5981078
Firm CRD# 111167
Compensation/Fee Fee-Based
Office Location
8775 Folsom Blvd Suite 100,
Sacramento,
CA
95826
Phone Number
888-242-6766
Ted Smalling is a CERTIFIED FINANCIAL PLANNER™ professional, and holds an MBA from the Keller Graduate School of Management. A native of Sacramento, CA, before embarking on an advisory career, Ted spent 25 years as a small business owner. An avid golfer, Ted lives with his family in Elk Grove, California.
Based out of Sacramento, California, Allworth Financial is an independent financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement. The firm, which was founded in 1993, has grown to serve more than 12,000 clients and manages over $10 billion in client assets.
Advisory Services Provided:
Retirement Planning, Tax Advice and Services, Estate Planning & Trusts
Qualifications
CRD# 1095790
Firm CRD# 104510
Series 65
Compensation/Fee Fee-Based
Office Location
2175 North California Boulevard,
Suite 800,
Walnut Creek,
CA
94596
Phone Number
925-660-4724
I provide my clients with holistic advice designed to help protect and grow their wealth so they can achieve their financial goals. My wife Jaclynn and I have one daughter. Originally from Hawaii, I enjoy working out and keeping fit.
Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.
Qualifications
CRD# 6711825
Firm CRD# 104510
Series 66
Compensation/Fee Fee-Based
Office Location
3945 Freedom Circle, Suite 950,
Santa Clara,
CA
95054
Phone Number
408-565-8572
As a financial planner, I have the privilege of helping individuals and families achieve their personal and financial goals. By addressing your concerns and understanding what is most important to you, I will develop a comprehensive financial plan to help guide you through every stage of life. Outside of work, my wife, Kathy, and I spend a lot of time cooking, working out, and searching for our next dog to adopt (Boston terrier or Saint Bernard or both).
Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.
Qualifications
CRD# 6211526
Firm CRD# 111167
Compensation/Fee Fee-Based
Office Location
1550 The Alameda, Suite 125,
San Jose,
CA
95126
Phone Number
888-242-6766
Andrew Kessler is a CERTIFIED FINANCIAL PLANNER™ professional, who pursued a career in financial planning as a result of his passion for helping others. He aspires to share his knowledge, create plans for the future and ease financial anxieties for all the clients he serves. Andrew is a graduate of the University of Massachusetts, and proud to be part of the Allworth Financial team. He lives in the East Bay with his wife Whitney and foster dogs.
Based out of Sacramento, California, Allworth Financial is an independent financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement. The firm, which was founded in 1993, has grown to serve more than 12,000 clients and manages over $10 billion in client assets.
Advisory Services Provided:
Retirement Planning, Tax Advice and Services, Estate Planning & Trusts
Qualifications
CRD# 4890912
Firm CRD# 111167
Compensation/Fee Fee-Based
Office Location
3017 Douglas Blvd,
Roseville,
CA
95661
Phone Number
888-242-6766
Tad Doughty holds the Certified Fund Specialist (CFS) and Chartered Financial Consultant (ChFC) designations, and has been with Allworth Financial for 15 years. A native of Sacramento, CA, he is a direct descendant of Declaration of Independence signee, John Hart. Tad lives with his wife Stephanie in Sacramento, California.
Based out of Sacramento, California, Allworth Financial is an independent financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement. The firm, which was founded in 1993, has grown to serve more than 12,000 clients and manages over $10 billion in client assets.
Advisory Services Provided:
Retirement Planning, Tax Advice and Services, Estate Planning & Trusts
Qualifications
CRD# 6154134
Firm CRD# 104510
Series 66
Compensation/Fee Fee-Based
Office Location
1112 Galleria Boulevard Suite 1602901 Douglas Blvd Suite 250,
Roseville,
CA
95661
Phone Number
916-462-5220
I'm a dedicated financial planner who loves to educate my clients and help them achieve their financial goals. My entire family lives in Northern California, and even though I've lived and worked in California and Arizona, Northern California has always been my home. Im happily married to my wife, Belinda, and we welcomed our first child, Lukas, in 2021.
Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.
Qualifications
Firm CRD# 155172
Compensation/Fee Fee-Based
Office Location
3 Lagoon Drive,
Suite 200,
Redwood City,
CA
94065
Phone Number
650-556-1310
Office Location
250 Montgomery Street,
Suite 700,
San Francisco,CA 94104
Phone Number
855-855-8005
Office Location
250 Montgomery Street,
Suite 700,
San Francisco,CA 94104
Phone Number
650-556-1310
Personal Capital offers $200 Plus a Free Consultation. Here's all you have to do:
Ready to take control of your finances? Personal Capital is here to help. We have objective fiduciary advisors ready to analyze your financial situation, and help you build a personalized, holistic plan.
The holistic financial plan recommendation is yours to keep, no strings attached. You also get $200, just for speaking with us.
There's never been a better time to get a second opinion on your financial future. Schedule a call with Personal Capital today.
WHY USE PERSONAL CAPITAL
Personal Capital provides a unique combination of award-winning financial tools and personalized, human advice.
Work with our team of licensed fiduciary advisors to build a free Personalized Plan that's yours to keep. You and your advisor will use our comprehensive array of free money management tools to identify and alert you to opportunities for investment management, retirement planning, and cash flow.
Setting up your dashboard will make your discussion with an advisor -- whether ours or a competitor's -- more productive. And it's completely free to get started:
Personal Capital Advisors Corporation ("PCAC") compensates WiserAdvisor ("Company") for new leads. ("Company") is not an investment client of PCAC.
Advisory Services Provided:
Portfolio Management, Wealth Management
Qualifications
CRD# 4816123
Firm CRD# 104510
Series 66
Compensation/Fee Fee-Based
Office Location
3950 Civic Center Drive,,
Suite 315,
San Rafael,
CA
94903
Phone Number
415-941-4905
I've been a financial planner since 2005, and in that time, I've helped countless clients think through their lifelong goals and enable them to follow a smart and well-developed plan to achieve their financial milestones. Outside of work, I'm either spending time with my family, walking my dogs, hiking, traveling, watching movies, reading a book, gardening, or working on a DIY project at home.
Since 1986, Edelman Financial Engines has been committed to always acting in the best interest of our clients. We were founded on the belief that all American investors - not just the wealthy - deserve access to personalized, comprehensive financial planning and investment advice. Today, we are America's top independent financial planning and investment advisory firm, recognized by Barron's,1 awarded September 2021 based on data within a 12-month period. Compensation paid for use and distribution of rating. We have 145+ offices across the country and are entrusted by more than 1.3 million clients to manage more than $291 billion in assets.2 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client's situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves. 1The 2021 Top 100 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, revenue generated, regulatory record, staffing levels and diversity, technology spending and succession planning. Firms elect to participate but do not pay to be included in the ranking. Compensation is paid for use and distribution of rating. Investor experience and returns are not considered. 2Data as of Dec. 31, 2021.
Top Financial Advisor Firms in Stockton, California (Ranked by AUM) |
|||
---|---|---|---|
Firm Name | AUM | No. of Clients | Fee Structure |
Findec Wealth Services, Inc.
3555 Deer Park Drive , Suite 160, Stockton, CA 95219 |
$864,012,538 | 1375 |
A percentage of AUM Hourly charges Fixed fees |
Attentive Investments, Llc
5345 N El Dorado St. , Suite 5, Stockton, CA 95207 |
$155,083,454 | 1058 |
A percentage of AUM Hourly charges |
* Additional advisors listing is provided in partnership with Yext
Financial Advisor | Office Location | Phone Number |
Morgan Stanley Financial Advisors Inquire with Morgan |
3421 Brookside Road, Suite A, Stockton, CA 95219 | 209-478-2230 |
Tina Wells Lee & Associates Inquire with Tina |
221 Tuxedo Court, Suite B, Stockton, CA 95204 | 209-477-6400 |
Douglas Bott Inquire with Douglas |
3421 Brookside Road, Suite A, Stockton, CA 95219 | 209-476-2881 |
Matt Corkern Inquire with Matt |
3421 Brookside Road, Suite A, Stockton, CA 95219 | 209-476-2876 |
Peter Gibson Inquire with Peter |
3421 Brookside Road, Suite A, Stockton, CA 95219 | 209-476-2834 |
Neal Fearn Inquire with Neal |
3421 Brookside Road, Suite A, Stockton, CA 95219 | 209-476-2869 |
Steven Ruffoni Inquire with Steven |
3421 Brookside Road, Suite A, Stockton, CA 95219 | 209-476-2844 |
Jack Stuart Lawson Inquire with Jack |
3421 Brookside Road, Suite A, Stockton, CA 95219 | 209-476-2856 |
Casey Knowles Inquire with Casey |
3421 Brookside Road, Suite A, Stockton, CA 95219 | 209-476-2833 |
Allstate Personal Financial Representative: Colby Rogers Inquire with Allstate |
3244 Brookside Rd, Ste 170, Stockton, CA 95219 | 209-606-6026 |
Financial advisors help their client by providing financial advice and strategy to build wealth and eliminate risk. They assess the client's risk appetite, their unique needs and requirements, their short-term and long-term goals and guide them towards adopting the right financial plan, retirement plan, estate plan or education plan etc. as necessary. Learn more about the roles & benefits of a financial advisor.
Financial advisors strategize financial planning and help you make the right decision about your investments. They weigh the pros and cons, and are abreast with the latest industry updates regarding tax issues and investment vehicles. These valuable insights guide you to make investments that meet your financial requirements and goals such as buying a house, education, having a baby or securing your retirement. Learn more about the cost of a financial advisor?.
A financial advisor can help you manage your finances especially when you don't have the time to do it yourself or when there are major changes in your life, such as getting married or having a baby. Even if you've managed your investment on your own, the best financial planners can vet your plan and assess it from a different perspective, to add surety to your decisions. Learn more about the best time to hire a financial advisor.
While choosing a financial planner to help you with your investment decisions, it's important to do some spadework. Meet different consultants and compare and contrast their advice. Pick up clues that demonstrate their experience and integrity. It is also important to verify the credentials of an independent financial planner before making a decision. Read the guide on choosing the best financial advisor.
Finding the right person or a financial advisory firm to help with your retirement planning might take some effort, but the effort is worth it. Financial advisors might have different specializations, look for one who has had past experience in retirement planning. Also, this could translate to a long - term relationship, so it's important to find someone whom you like, trust and respect. Read here the importance of retirement planning.
A fiduciary is any person or firm who acts on behalf of another individual or firm to manage their assets. Fiduciary financial advisors provide their client the highest quality of care while maintaining 'good faith', meaning they wouldn't act in favor of anyone else's interests, including their own. The best way to be certain that a financial advisor is a fiduciary is to simply ask. Learn more about what is a fiduciary financial advisor.
A financial advisor is any person who helps their client manage their money by giving valuable investment insights to help financial decision making. A financial planner is also a financial advisor but specializes in creating comprehensive plans for their clients to match their specific goals. Learn more about financial advisor vs financial planner: Who do you need?