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Find Top Financial Advisors in Stockton, California

Stockton, California is home to a population of over 324,000 residents and has a cost of living that is 22% lower than the state average. While this may be beneficial for Stockton residents' finances, it is still perhaps important to seek the advice of an experienced and certified financial advisor to uncover economic growth opportunities. Finding the right financial advisor can be a time-consuming task, but WiserAdvisor's list of ranked financial advisors and advisory firms can serve as a valuable starting point while searching for a trustworthy financial advisor. The vetted financial advisors and financial advisory firms listed on our directory are experienced in providing tailored guidance in retirement planning, investment management, wealth management, financial planning, estate planning, and more depending on your financial needs.

Finding the Top Financial Advisor in Stockton, California

Last Updated - November 30, 2023

Stockton has 7 WiserAdvisor vetted Financial Planners and Advisors on the online list below for you to choose from and 22 non-vetted advisors in your local area. These financial advisors in Stockton, California have an average of 26 years of experience.

NOTE: The list of vetted financial advisors in Stockton, California 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 Stockton, California.

Qualified Financial Advisors in Stockton, California

Financial Advisor Experience AUM Minimum Assets Fee Structure
Allworth Financial
MBA
ALLWORTH FINANCIAL
8775 Folsom Blvd Suite 100,
Sacramento, CA 95826
1550 The Alameda, Suite 125,
San Jose, CA 95126
3017 Douglas Blvd,
Roseville, CA 95661
644 North Santa Cruz Ave Suite 4,
Los Gatos, CA 95030
Not Disclosed $10,000,000,000 Not Specified Fee-Based
Kristie Cahill
CFP®, CEP®
HAVEN WEALTH MANAGEMENT
One Sansome St., Ste. 3500,
San Francisco, CA 94104
22 Years $60,000,000 $250,000 Fee-Based
David Roggenkamp
ChFC®
COMMONWEALTH FINANCIAL NETWORK
700 Larkspur Landing Circle, Suite 199,
Larkspur, CA 94939
31 Years Not Specified Not Specified Fee-Based

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Information on Qualified Financial Advisors in Stockton, California

Qualifications Firm CRD# 111167

Compensation/Fee Fee-Based


Office Location 8775 Folsom Blvd Suite 100,
Sacramento,
CA
95826
Phone Number 888-242-6766

Office Location 8775 Folsom Blvd Suite 100,
Sacramento,CA 95826
Phone Number 888-242-6766

Office Location 1550 The Alameda, Suite 125,
San Jose,CA 95126
Phone Number 888-242-6766

Office Location 3017 Douglas Blvd,
Roseville,CA 95661
Phone Number 888-242-6766

Office Location 644 North Santa Cruz Ave Suite 4,
Los Gatos,CA 95030
Phone Number 888-242-6766

About Allworth Financial

Allworth Financial

Allworth Financial has been providing transparent, straightforward, and honest financial advice to individuals and families for more than 26 years. They are a fiduciary, fee-based firm that focuses on helping people achieve financial confidence. The advisors at Allworth are not salespeople, so their sole interest is providing the recommendations and advice people need to hear. During your free consultation, the advisor will listen to your goals, answer your questions, and lay out a series of next steps for success.

Advisory Services Provided:

Retirement Planning, Tax Advice and Services, Estate Planning & Trusts


Qualifications CRD# 4439727
Firm CRD# 281213
Series 66

Compensation/Fee Fee-Based, Based on Assets


Office Location One Sansome St., Ste. 3500,
San Francisco,
CA
94104
Phone Number 415-878-1177

Kristie is a Certified Financial Planner and Wealth Advisor. She looks at each client's financial situation like a unique puzzle. She knows one approach won't work for every problem; that's why she takes the time to understand each client. Since 2000, Kristie has worked with several well-known investment management firms. She founded Haven Wealth Mangement and deliberately chose to work as a Registered Investment Advisor because it aligns her interests with clients needs. She attained her CFP before the age of 40, less than 5% of first-time CFP holders are women under the age of 40. She holds her California life and health insurance licenses and has been a Certified Estate Planner since January 2014. When she's not at work, Kristie loves traveling, snowboarding, scuba diving and spending time with her husband, Shane.

About Haven Wealth Management

Haven Wealth Management

We offer financial planning, investment management and retirement planning for individuals and families. At HWM, we take time to listen carefully and identify your life goals, needs and priorities. We then develop a comprehensive financial plan that helps you address your important objectives for retirement, college planning, investment, tax minimization, equity reward strategies, wealth transfer, and other financial objectives. We provide recommendations for plan implementation, continuously work with our clients to identify gaps in the plan as their lives evolve. Our mission is the help our clients make sound financial decisions that allow them to thrive.

Advisory Services Provided:

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


Qualifications CRD# 1934091
Firm CRD# 8032
Series 7, 63

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


Office Location 700 Larkspur Landing Circle, Suite 199,
Larkspur,
CA
94939
Phone Number 415-785-4540

David Roggenkamp has been in the investment advisory business for 31 years. His practice is focused on investment management for individuals and small businesses, including retirement plans. David also provides fee-based consulting guidance on retirement plan investments, education, fiduciary obligations for various types of trusts and qualified plans. He holds FINRA Series 7, 63 securities registrations through Commonwealth Financial Network® and is a certified Chartered Financial Consultant (ChfC). David was appointed Chartered Financial Consultant® (ChFC®) in 2000 from the American College in Bryn Mawr, Pennsylvania. The ChFC certification is a nationally recognized accreditation, demonstrating proficiency eight key areas of practice: investment analysis, capital markets, retirement planning, financial planning, investment risk management and succession planning for business owners and professionals, income tax law, and estate planning. The certification is a recognized standard for investment proficiency and fiduciary ethics in financial planning.David is involved in on-going education to affirm his ChFC certification as well as broker/dealer and regulatory agency education requirements. His immediate prior affiliations include: John Hancock Inc., Transamerica Investment Advisors Inc. David is a 1987 graduate of Kenyon College. David works and lives in Marin County, California, and has resided with his family in the San Francisco Bay area since 1988. References furnished upon request.

About Commonwealth Financial Network

Commonwealth Financial Network

Commonwealth wants you to succeed! Working with us will help you achieve financial independence. Together, we'll implement and monitor a comprehensive process for managing assets and can advise you on most other aspects of your financial life. We typically establish lifelong client relationships. Client references furnished upon request. https://www.davidroggenkamp.com/


Customer Reviews

Top Financial Advisor Firms in Stockton, California (Ranked by AUM)

Firm Name No. of Advisors No. of Clients AUM Fee Structure
FINDEC WEALTH SERVICES, INC.
3555 Deer Park Drive, Suite 160, Stockton, CA 95219
10 1375 $864,012,538
A percentage of AUM, Hourly charges, Fixed fees
ATTENTIVE INVESTMENTS, LLC
5345 N El Dorado St., Suite 5, Stockton, CA 95207
2 1058 $155,083,454
A percentage of AUM, Hourly charges

    List of Additional Advisors in Stockton, California*

    * Additional advisors listing is provided in partnership with Yext

    Financial Advisor Office Location Phone Number
    3421 Brookside Road, Suite A, Stockton, CA  95219 209-478-2230
    221 Tuxedo Court, Suite B, Stockton, CA  95204 209-477-6400
    3421 Brookside Road, Suite A, Stockton, CA  95219 209-476-2881
    3421 Brookside Road, Suite A, Stockton, CA  95219 209-476-2876
    3421 Brookside Road, Suite A, Stockton, CA  95219 209-476-2834
    3421 Brookside Road, Suite A, Stockton, CA  95219 209-476-2869
    3421 Brookside Road, Suite A, Stockton, CA  95219 209-476-2844
    3421 Brookside Road, Suite A, Stockton, CA  95219 209-476-2856
    3421 Brookside Road, Suite A, Stockton, CA  95219 209-476-2833
    1036 W Robinhood Dr, Ste 205, Stockton, CA  95207 209-606-6026

      Frequently Asked Questions

      Financial advisors and financial planners in California differ in their scope of services and qualifications. A financial advisor provides a variety of services such as investment management, retirement planning, wealth management, and more, depending on the need of an individual. In contrast, a financial planner is a qualified professional who creates personalized financial plans for clients, focusing on areas including retirement, tax, and estate planning. Planners hold specific credentials (CFP, CFA, etc.), and have a fiduciary duty to act in their client's best interests. To learn more, read on about the differences between Financial advisors and financial planners.

      When choosing a financial advisor in California who specializes in socially responsible investing, be sure to ask the advisor about their approach to screening investments for environmental, social, and governance (ESG) factors. You can also search for advisors who are members of organizations like the Sustainable Investment Professional Certification (SIPC) or the US SIF: The Forum for Sustainable and Responsible Investment. Additionally, you may also use our free advisor match service to get matched to and compare 2 to 3 financial advisors who meet your specific requirements. To further understand a financial advisor's approach to socially responsible investing, consider using the following 6 Questions On Sustainable Investing That You Should Ask Your Financial Advisor.

      When choosing a financial advisor in California, look for some common credentials like Certified Financial Planner (CFP), Chartered Financial Analyst (CFA), Chartered Financial Consultant (ChFC), etc. These designations indicate that the advisor has undergone rigorous training and testing in the field of financial planning and is committed to upholding high ethical standards. To ensure you are making a more informed decision while picking an advisor, explore the 6 common financial advisor certifications you need to know. To further explore the various credentials an advisor can hold, read more about advisor designations.

      To ensure that a financial advisor in California prioritizes your best interests, seek out advisors who adhere to a fiduciary standard, which legally obligates them to act in your best interests and avoid conflicts of interest. When selecting an advisor, inquire about their fiduciary status and how they will consistently prioritize your interests. To make sure your best interests are being considered, learn more about the role of a fiduciary financial advisor and the support they can provide.

      A financial planner can help you choose the most suitable retirement plans based on your individual circumstances and financial goals, including a 401(k), IRA, Thrift Savings Plan (TSP), and cash-balance pension plans. If you wish to learn more about planning for retirement, read more about the 4 Types of Retirement Plans.

      A financial advisor in California may assist you in reducing your tax burden through various strategies, such as optimizing deductions, implementing tax-efficient investment strategies, exploring retirement account contributions, and advising on tax-advantaged savings vehicles. However, WiserAdvisor's directory may not include advisors that specialize in taxes. In the "Advisory Services Provided" section, you will be able to confirm if tax advice and tax preparation services are among the services they offer.