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Qualifications of Financial Advisor in Stamford

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Financial Advisors in Stamford, Connecticut
Financial Advisor Office Location Phone Number
Peter Scholtz
Scholtz & Company		 107 Elm Street,
Stamford, CT  06902 		(203) 714-9900
Kevin Twomey
Northwestern Mutual		 50 main street,
White Plains, NY  10606 		(845) 728-3082
Nick Friedman
Edelman Financial Engines, LLC		 10 Bank Street,
White Plains, NY  10606 		(914) 618-3002
Dominick Santoro
LPL Financial		 83 Wooster Heights Road,
Danbury, CT  06810 		(203) 431-2224
Emil Ben-David
Edelman Financial Engines, LLC		 1130 RXR Plaza,
Uniondale, NY  11556 		(516) 252-1413
Rick Mueller
Edelman Financial Engines, LLC		 650 From Road,
Paramus, NJ  07652 		(201) 575-4878
Chris Sosa
Edelman Financial Engines, LLC		 340 Madison Avenue,
New York, NY  10173 		(646) 779-2102
Stephen Sassi
Edelman Financial Engines, LLC		 406 Forest Ave.,
Staten Island, NY  10301 		(718) 313-0303
Kevin Shea
Edelman Financial Engines, LLC		 51 JFK Parkway,
Short Hills, NJ  07078 		(862) 206-7431
Jim Furlong
Edelman Financial Engines, LLC		 360 Bloomfield Avenue,
Windsor, CT  06095 		(413) 271-1147
Sam Chang CFA®
Capitol Region Group		 828 Sullivan Avenue,
South Windsor, CT  06074 		(860) 474-3600

Information on Qualified Financial Advisors in Stamford

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Peter→

Peter Scholtz

Scholtz & Company

Qualifications CRD# 873183
FirmCRD# 107363
Series 5, 7, 63, 65

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

Office Location 107 Elm Street,
Four Stamford Plaza, 5th Floor,
Stamford,
CT  06902 Phone Number (203) 7149900

Peter Scholtz is the President, Founder, and lead Portfolio Manager at Scholtz & Company, LLC. Peter founded Scholtz & Company in 1994 and has over 30 years of professional investment experience. Following three years (1974-77) at Bankers Trust in New York, Peter attended Columbia Business School in 1978. After receiving his MBA, Peter joined Smith Barney where he worked for 15 years. At Smith Barney, Peter started in Institutional Equity Sales before becoming a Portfolio Manager after several years. In 1986, Peter was part of the initial team to create a customized, individually managed high net worth service which eventually grew to seven portfolio managers that invested over one billion dollars. While at Smith Barney, Peter developed some quantitative models in 1991 that represent the first investment quantitative work ever done at Smith Barney. These models focused on earnings estimate revisions, earnings surprises and relative stock strength. These models today are used for screening stock ideas for investigation. Peter graduated with a BS degree in economics from Ohio Wesleyan in 1974 and an MBA from Columbia University in 1979. Additionally, Peter Scholtz has passed several licensing exams including the Series 65, 63, 7, and 5. Peter currently lives in Darien, Connecticut with his wife of over 35 years. In his free time, he enjoys sailing, fishing, swimming and spending time with his three children and three grandchildren.

About Scholtz & Company

Scholtz & Company is an investment management firm which provides customized investment services to individuals and institutions. Specifically, Scholtz & Company manages its clients' individual investment accounts to help build and maintain a bright financial future. At Scholtz & Company, we are committed to building lifelong client relationships by providing exceptional service, personalized portfolios and superior long-term performance. These are goals we have been successfully achieving since our firms beginning.

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Kevin→

Kevin Twomey

Northwestern Mutual

Compensation/Fee I am a commission only financial professional, Commissions

Office Location 50 main street,
Ste 1520,
White Plains,
NY  10606 Phone Number (845) 7283082

Joined Norhtwestern Mutual in 2018. Previously worked on tugboats in the Maritime Industry for 10 years. Switched to Finance to help past co-workers and friends organize their finances and plan for the future. It can be a very stressful thing thinking about how to plan for your future financially,which is where I wanted to bring value to people's lives. Graduated from SUNY Maritime College which is located in Throggs Neck, NY with a bachelors degree in business.

About Northwestern Mutual

When people feel better about their money, good things happen they become more confident and feel more secure. Taking away the everyday financial stress that most people experience (1 out of every 3, in fact), helps them breathe easier, sleep better, and feel happier.That's why Northwestern Mutual exists. It's why we do what we've been doing for the last 160 years. Being a mutual company means we've been there for our clients since day one and will continue to be because we report to them, not Wall Street. Instead of having to worry about short-term gains, we take a long-term approach both in the way we help people plan, and in the way we do business. This has served our clients well through all kinds of economic ups and downs even the 2008-2009 financial crisis.Mutuality also means that our policyowners get to be a part of our company and may benefit from annual dividends.So when we do well, you do well, too.

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Nick→

Nick Friedman

Edelman Financial Engines, LLC

Qualifications CRD# 5465081
FirmCRD# 104510
Series 7, 66

Compensation/Fee Fee Based Only - No Commissions

Office Location 10 Bank Street,
White Plains,
NY  10606 Phone Number (914) 6183002

Joined Edelman Financial Engines in 2016. Began his career in the financial services industry in 2009. Earned the Certified Financial Planner certification(s). Bachelor's degree in Finance from University of Delaware.

About Edelman Financial Engines, LLC

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 advisor, recognized by both InvestmentNews1 and Barron's2, with 180+ planner offices across the country and entrusted by more than 1.1 million clients to manage more than $200 billion in assets. 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. 1Ranking and status for 2017. For independence methodology and ranking, see InvestmentNews Center (http://data.investmentnews.com/ria/); 2The Top 40 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, the size and experience of teams, and the regulatory records of the advisers and firms. Firms elect to participate, but do not pay to be included in the ranking. Investor returns/experience are not considered. 2018 ranking refers to Edelman Financial Services (EFS), which combined its advisory business in its entirety with Financial Engines Advisors L.L.C. (FEA) in November 2018. For the same survey, FEA received a precombination ranking of twelfth.


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Dominick→

Dominick Santoro

LPL Financial

Qualifications CRD# 4897645
Series 7, 24, 63, 65

Office Location 83 Wooster Heights Road,
Suite 125,
Danbury,
CT  06810 Phone Number (203) 4312224

Dominick Santoro brings a wealth of experience and expertise to his clients, helping successful individuals and business owners with sensible investment strategies, comprehensive financial planning, wealth preservation and transfer, long-term care (including Connecticut Partnership for Long-Term Care), and business retirement plans. Dominick started his practice with Morgan Stanley (formerly Smith Barney Citigroup) in Westport, Connecticut in 2004. Prior to his career as a Financial Advisor, Dominick held several management positions in corporate accounting and finance with corporations including PepsiCo, Dictaphone, and Coldwell Banker. He holds both a Bachelors of Science degree in finance and an MBA degree with concentrations in investment management & financial planning, and corporate accounting from the University of Connecticut.

About LPL Financial

LPL Financial is the largest independent brokerage firm in the United States. If you are looking for a financial advisor that listens, puts your interests first, and provides advice and solutions custom tailored to your needs, then you've come to the right place. In today's world, working with an investment professional is more important than ever. One of the most important decisions you can make is to seek the advice of a trusted, qualified advisor. I believe no two individuals are the same. There are no "cookie cutters" in my practice. Everyone has a unique set of needs and life goals and therefore requires custom advice, investments, and planning tailored to your circumstances. I also understand that the desire not to lose one's nest egg and not outliving your resources is as important as the desire to grow one's investments? Whether you are looking to grow or preserve, or a combination of both, I can help.

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Emil→

Emil Ben-David

Edelman Financial Engines, LLC

Qualifications CRD# 5723861
FirmCRD# 104510
Series 7, 66

Compensation/Fee Fee Based Only - No Commissions

Office Location 1130 RXR Plaza,
Uniondale,
NY  11556 Phone Number (516) 2521413

Joined Edelman Financial Engines in 2017. Began his career in the financial services industry in 2009. Earned the Certified Financial Planner certification(s). Bachelor's degree in Economics from Queens College.

About Edelman Financial Engines, LLC

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 advisor, recognized by both InvestmentNews1 and Barron's2, with 180+ planner offices across the country and entrusted by more than 1.1 million clients to manage more than $200 billion in assets. 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. 1Ranking and status for 2017. For independence methodology and ranking, see InvestmentNews Center (http://data.investmentnews.com/ria/); 2The Top 40 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, the size and experience of teams, and the regulatory records of the advisers and firms. Firms elect to participate, but do not pay to be included in the ranking. Investor returns/experience are not considered. 2018 ranking refers to Edelman Financial Services (EFS), which combined its advisory business in its entirety with Financial Engines Advisors L.L.C. (FEA) in November 2018. For the same survey, FEA received a precombination ranking of twelfth.


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Rick→

Rick Mueller

Edelman Financial Engines, LLC

Qualifications CRD# 1141204
FirmCRD# 104510
Series 6, 7, 63, 65

Compensation/Fee Fee Based Only - No Commissions

Office Location 650 From Road,
Paramus,
NJ  07652 Phone Number (201) 5754878

Joined Edelman Financial Engines in 2013. Began his career in the financial services industry in 1992. Earned the Registered Financial Consultant and Certified Financial Planner certification(s). Bachelor's degree in Business from Farleigh Dickinson University.

About Edelman Financial Engines, LLC

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 advisor, recognized by both InvestmentNews1 and Barron's2, with 180+ planner offices across the country and entrusted by more than 1.1 million clients to manage more than $200 billion in assets. 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. 1Ranking and status for 2017. For independence methodology and ranking, see InvestmentNews Center (http://data.investmentnews.com/ria/); 2The Top 40 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, the size and experience of teams, and the regulatory records of the advisers and firms. Firms elect to participate, but do not pay to be included in the ranking. Investor returns/experience are not considered. 2018 ranking refers to Edelman Financial Services (EFS), which combined its advisory business in its entirety with Financial Engines Advisors L.L.C. (FEA) in November 2018. For the same survey, FEA received a precombination ranking of twelfth.


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Chris→

Chris Sosa

Edelman Financial Engines, LLC

Qualifications CRD# 5130180
FirmCRD# 104510
Series 7, 63, 65

Compensation/Fee Fee Based Only - No Commissions

Office Location 340 Madison Avenue,
New York,
NY  10173 Phone Number (646) 7792102

Joined Edelman Financial Engines in 2016. Began his career in the financial services industry in 2006. Earned the Certified Financial Planner certification(s). Bachelor's degree in Economics and Business from Randolph Macon College and Master of Business Administration in Finance from Fordham University.

About Edelman Financial Engines, LLC

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 advisor, recognized by both InvestmentNews1 and Barron's2, with 180+ planner offices across the country and entrusted by more than 1.1 million clients to manage more than $200 billion in assets. 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. 1Ranking and status for 2017. For independence methodology and ranking, see InvestmentNews Center (http://data.investmentnews.com/ria/); 2The Top 40 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, the size and experience of teams, and the regulatory records of the advisers and firms. Firms elect to participate, but do not pay to be included in the ranking. Investor returns/experience are not considered. 2018 ranking refers to Edelman Financial Services (EFS), which combined its advisory business in its entirety with Financial Engines Advisors L.L.C. (FEA) in November 2018. For the same survey, FEA received a precombination ranking of twelfth.


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Stephen→

Stephen Sassi

Edelman Financial Engines, LLC

Qualifications CRD# 4873236
FirmCRD# 104510
Series 7, 66

Compensation/Fee Fee Based Only - No Commissions

Office Location 406 Forest Ave.,
Staten Island,
NY  10301 Phone Number (718) 3130303

Joined Edelman Financial Engines in 2016. Began his career in the financial services industry in 2013. Earned the Chartered Retirement Planning Counselor certification. Bachelor's degree in Communications from Rutgers University.

About Edelman Financial Engines, LLC

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 advisor, recognized by both InvestmentNews1 and Barron's2, with 180+ planner offices across the country and entrusted by more than 1.1 million clients to manage more than $200 billion in assets. 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. 1Ranking and status for 2017. For independence methodology and ranking, see InvestmentNews Center (http://data.investmentnews.com/ria/); 2The Top 40 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, the size and experience of teams, and the regulatory records of the advisers and firms. Firms elect to participate, but do not pay to be included in the ranking. Investor returns/experience are not considered. 2018 ranking refers to Edelman Financial Services (EFS), which combined its advisory business in its entirety with Financial Engines Advisors L.L.C. (FEA) in November 2018. For the same survey, FEA received a precombination ranking of twelfth.

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Kevin→

Kevin Shea

Edelman Financial Engines, LLC

Qualifications CRD# 5692654
FirmCRD# 104510
Series 6, 7, 63, 66

Compensation/Fee Fee Based Only - No Commissions

Office Location 51 JFK Parkway,
Short Hills,
NJ  07078 Phone Number (862) 2067431

Joined Edelman Financial Engines in 2017. Began his career in the financial services industry in 2012. Earned the Chartered Financial Analyst and Certified Financial Planner certification(s). Bachelor's degree in Political Science from University of Rochester, Masters in Public Policy Analysis from University of Rochester and Master of Business Administration from George Washington University.

About Edelman Financial Engines, LLC

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 advisor, recognized by both InvestmentNews1 and Barron's2, with 180+ planner offices across the country and entrusted by more than 1.1 million clients to manage more than $200 billion in assets. 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. 1Ranking and status for 2017. For independence methodology and ranking, see InvestmentNews Center (http://data.investmentnews.com/ria/); 2The Top 40 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, the size and experience of teams, and the regulatory records of the advisers and firms. Firms elect to participate, but do not pay to be included in the ranking. Investor returns/experience are not considered. 2018 ranking refers to Edelman Financial Services (EFS), which combined its advisory business in its entirety with Financial Engines Advisors L.L.C. (FEA) in November 2018. For the same survey, FEA received a precombination ranking of twelfth.


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Jim→

Jim Furlong

Edelman Financial Engines, LLC

Qualifications CRD# 1921131
FirmCRD# 104510
Series 4, 7, 24, 53, 63, 65

Compensation/Fee Fee Based Only - No Commissions

Office Location 360 Bloomfield Avenue,
Suite 301,
Windsor,
CT  06095 Phone Number (413) 2711147

Joined Edelman Financial Engines in 2005. Began his career in the financial services industry in 1980. Successfully completed the Series 4, 7, 24, 53, 63, and 65 examination(s) administered by FINRA. Board member of The Adoptive Parents Committee and President of the Enfield Dolphins Recreational Swim Team. Hometown is Bay Shore, N.Y. Married to Susan. They have five children: Shawn Marie, Michael, John, Allison, and Robert.

About Edelman Financial Engines, LLC

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 advisor, recognized by both InvestmentNews1 and Barron's2, with 180+ planner offices across the country and entrusted by more than 1.1 million clients to manage more than $200 billion in assets. 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. 1Ranking and status for 2017. For independence methodology and ranking, see InvestmentNews Center (http://data.investmentnews.com/ria/); 2The Top 40 Independent Advisory Firm Ranking issued by Barron's is qualitative and quantitative, including assets managed, the size and experience of teams, and the regulatory records of the advisers and firms. Firms elect to participate, but do not pay to be included in the ranking. Investor returns/experience are not considered. 2018 ranking refers to Edelman Financial Services (EFS), which combined its advisory business in its entirety with Financial Engines Advisors L.L.C. (FEA) in November 2018. For the same survey, FEA received a precombination ranking of twelfth.

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Sam→

Sam Chang CFA®

Capitol Region Group

Qualifications CRD# 4240986
Series 7, 63

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

Office Location 828 Sullivan Avenue,
South Windsor,
CT  06074 Phone Number (860) 4743600

Worked on Wall Street for the first 16 years of his career - on a team that managed several mutual funds. Has a Chartered Financial Analyst (CFA) designation which is widely regarded as the most difficult designation to attain for investment professionals, especially in the areas of research and portfolio management. Married with three children. Board of Directors of the Manchester Area Council of Churches. Lived in Hawaii for 4 years. Supports St. Francis Hospital, Children International and Camp Calumet. BA in Economics from Trinity College, Hartford, CT. I am licensed to do business in CT, MA, ME, NC, and NY.

About Capitol Region Group

The Capitol Region Group of Thrivent Financial offers a fee-based financial planning, investment management and protection strategy advisory service. We help our clients, entrepreneurs and professionals, implement a best practices, holistic, multi-generational household financial plan for their families. We have experience across the investing industry with success identifying quality business and investment opportunities. We also bring a deep knowledge spanning commercial real estate finance and ultra high net worth wealth management. We can work with a client's existing team of professionals or help adjust or build an effective team. We offer new prospects a 10-15 min phone conversation to learn about us, our services, and fees, and to answer their questions. We also take that opportunity to learn about them as well. If interested, we then offer a 1 hour consultation (in person or via Skype) to help prospects start building their financial strategy and make a decision on our service. We also have two offices in the Greater Hartford area: South Windsor and West Hartford.

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List of Additional Financial Advisors in or around Stamford, Connecticut
MNS Wealth Management Westport, CT
United Capital Financial Advisers, LLC Westport, CT
Merrill Lynch/The Dotson Wood Group Stamford, CT
The Farrar/Linke Team: Merrill Lynch Stamford, CT
AXA-Advisors Stamford, CT
Regency Wealth Management Ramsey, NJ
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