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Qualifications of Financial Advisor in Caldwell

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Financial Advisors in Caldwell, New Jersey
Financial Advisor Office Location Phone Number
Frank Lepore,
Bleakley Financial Group
100 Passaic Avenue,
Fairfield, NJ  07004
(973) 244-4237
James J. Di Gesu,
Wealth Health LLC
5 Becker Rd,
Roseland, NJ  07068
(973) 535-9577
Stephen Ng, ChFC®, CEP, CLU®,
Stephen Ng Financial Group, LLC
633 Morris Avenue,
Springfield, NJ  07081
(973) 218-9600
Gary Scheer,
Gary Scheer LLC
65 Madison Avenue Suite 210,
Morristown, NJ  07960
(973) 539-4100
Philip Sukharev,
Northwestern Mutual
10 Madison Ave, 3rd Floor,
Morristown, NJ  07960
(973) 531-2159
Bruce Fitzsimmons,
United Capital Financial Advisers, Inc.
55 Madison Ave,
Morristown, NJ  07960
(973) 632-9539
Eric Mancini, CFA, CFP, CAIA,
Traphagen Financial Group
234 Kinderkamack Rd,
Oradell, NJ  07649
(201) 262-1040
Gregory Manto,
Iron Birch Advisors
767 Third Avenue, 38th Floor,
New York, NY  10017
(212) 759-2022
Nels Wangensteen,
MayTech Global Investments
950 Third Avenue,
New York, NY  10022
(212) 899-2737
Stephen Sassi,
Edelman Financial Services, LLC
406 Forest Ave.,
Staten Island, NY  10301
(888) 752-6742
Sekhar Vemparala,
Wealth Planning Adivsory Group
59 Mine Brook Road,
Bernardsville, NJ  07924
(201) 314-3245
Peter Gellman,
Palmerston Group Advisors, LLC
320 Raritan Avenue, Suite 302,
Highland Park, NJ  08904
(732) 248-5777
Daniel Chen,
DC Strategies, Integrated Wealth Mgt.
12 Christopher Way,
Eatontown, NJ  07724
(732) 982-2170
Harry Berman,
Financial Engines Advisors, LLC
1275 Glenlivet Dr. Suite 100,
Allentown, PA  18106
(484) 224-3056
Zach Fletcher,
Financial Engines Advisors, LLC
600 West Germantown Pike,
Plymouth Meeting, PA  19462
(610) 239-8323

Information on Qualified Financial Advisors in Caldwell

Qualifications CRD# 4695659
Series 6, 7, 65, 66

Compensation/Fee I am a Fee-Only financial professional, Flat Fee

Office Location 100 Passaic Avenue,
Suite 300,
Phone Number (973) 2444237

Frank Lepore's mission is to provide financial security strategies by taking a holistic approach to the planning process while providing his clients with top notch service and technology. Understanding client goals is a vital part of Frank's process in order to put together an intelligent, thoughtful plan. What sets Frank apart even more is his large team who help provide the level of service that clients deserve. Frank attended Montclair State University and received a Bachelor of Science in Business, with a concentration in Finance. Frank holds a series 7, 66, through LPL Financial, and is also certified in Long-Term Care.

About Bleakley Financial Group

Bleakley Financial Group offers individuals, families and business owners independent financial planning and wealth management advice in a small team environment. Our advisory model is based on a disciplined financial planning process that addresses the full complexity of your financial situation. Specialized Teams and Individual Attention We built our advisory team from the ground up to provide you with an independent option for your financial planning and wealth management needs. The strength and size of our infrastructure gives us the bandwidth to solve sophisticated financial situations while keeping our advisor to client ratio low. Comprehensive Financial Planning and Wealth Management We want to help protect what is important to you, improve your life and secure your family's future. Our method as your financial partner is to provide a truly comprehensive solution, working in close collaboration with your legal and accounting advisors to make recommendations within the infrastructure of a financial plan. Culture of Client Service Excellence Our firm's culture is rooted in service. Every member of our experienced team is committed to providing you with an unmatched client experience. Dedicated, accessible and responsive to your needs, we work together to bring you the strategies, products and guidance we believe serve your best interest.

Qualifications CRD# 2295344
Series 63

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

Office Location 5 Becker Rd,
Phone Number (973) 5359577

Mr.Di Gesu is Sr. Vice President of Wealth Health. Prior to joining Wealth Health, he was a member of The Bank of New York Mellon's Wealth Advisory Group in Manhattan, where he specialized in providing individual tax, personal financial planning and investment advisory services to senior executives, owners of closely-held businesses, families of intergenerational wealth and other high-net worth individuals and their families. Mr.Di Gesu has been practicing in the personal financial planning field since 1987. As a member of Executive Financial Counseling of Deloitte & Touche, he provided personal tax and financial planning services to senior executives of multinational corporations. In 1996, he joined KPMG where as Senior Tax Manager, he was responsible for offering personal tax and financial planning services to clients. He directed the development and implementation of financial planning program for international senior management team of financial institution. Mr. Di Gesu has become sought after advisor to corporate executives with various compensation and benefit plans. With comprehensive planning he enables executives to continue to focus on their management responsibilities.In addition, he provides personal wealth management services to medical practitioners and families with a special needs child since he has a daughter with special needs. Mr. Di Gesu has authored technical articles for professional publications in tax and personal financial planning. He has also appeared on network television programs as a guest consultant on personal tax and financial matters, including CNBC?s Morning Business News, CNN Headline News, CBS Evening News and The FOX Network.

About Wealth Health LLC

At Wealth Health, our services are designed to simplify the complex and daunting challenges of managing your personal finances. We offer affluent individuals a solution to coordinating financial management among multiple advisors. Wealth Health enables you to centralize financial planning and wealth management at one highly focused, objective and experienced resource.

Qualifications CRD# 2222678
Series 6, 7, 26, 63, 65

Office Location 633 Morris Avenue,
Phone Number (973) 2189600

Stephen Ng is the founder and President of Stephen Ng Financial Group?. Stephen has been assisting pre-retirees & retirees since 1992. Additionally, he has helped retirees save in taxes and increase retirement income. Stephen has developed a specialty in working with retirees and those about to retire who want help to preserve their principal and ensure that their money lasts. Stephen helps many people avoid the common mistakes made by retirees. In addition, he has held Financial Management, Retirement Investing and Insurance planning seminars at businesses, churches & non-profit organizations. Stephen is a Chartered Life Underwriter, Chartered Financial Consultant and a Certified Estate Planner. He is also an Investment Advisor Representative with SagePoint Financial, Inc. In 2011, 2015-2017 Stephen Ng was listed in the Champions Circle and the Millon Dollar Club with SagePoint Financial, Inc. In 2010 and 2012, he was in the top 25 Producers and listed in the Champions circle with SagePoint Financial, Inc. In 2005 & 2008, Stephen was named Top Producer with American General Securities, Inc. In 2015, Stephen wrote the following book, 10 Financial Mistakes You Should Avoid: Strategies Designed to Help Keep Your Money Safe and Growing.

About Stephen Ng Financial Group, LLC

OUR MISSION No matter where you are in your financial or retirement planning journey, our mission statement remains the same: to help you grow and preserve your wealth by caring more, doing more, and knowing more. OUR VISION Our vision is to help clients feel confident about their future and pursue their financial goals. Through our comprehensive approach, we develop customized financial and retirement strategies that address your short and long-term needs. We are independent advisors, meaning that our recommendations are always in the best interests of our clients and your needs are at the core of everything we do. Together, we hope to grow multi-generationally and go above and beyond for your needs. Contact us today to get started

Office Location 65 Madison Avenue Suite 210,
Phone Number (973) 5394100

Gary Scheer, RFC®, CSA is a nationally recognized Financial Educator, Author, Speaker and Retirement Planner whom you may have seen on NBC, CBS, ABC, PIX 11 News, News 12 NJ and Annuity123, EzineArticles. com and Fortune. As the co-author Successonomics with Steve Forbes, The All-In Principal and Alligator Proofing Your Estate, Gary has been interviewed by William Shatner on Moving America Forward, and has been featured on In America with James Earl Jones. As Founder and Managing Member, Gary and his team at Gary Scheer, LLC have been showing business owners, professionals and executives how to protect and pass on their wealth for over 30 years. It doesn't take long with Gary Scheer to see why people trust their money and their future to him. He is a warm and passionate communicator with a relaxed style who loves to share his financial wisdom and insights through his presentations to CPA groups and his Public Seminar Series "Understanding Different Retirement Strategies" and his popular radio program on WMTR, "Your Money, Your Retirement with Gary Scheer". He has been a REGISTERED FINANCIAL CONSULTANT since 2009 and Certified Senior Advisor since 2003. As a complement to his professional achievements, Gary is past President and former Treasurer of a local private school board. Additionally, Gary has played trumpet with the acclaimed Livingston Symphony Orchestra, New Jersey for over 20 years.

About Gary Scheer LLC

Recognized as one of the leading retirement experts in the nation, Gary Scheer has helped thousands of individuals and families in New York, New Jersey, and across the nation prepare for a secure, successful retirement since 1982. Specializing in Retirement Income Planning, Advanced Financial and Estate Planning Strategies, and Creative Tax Reduction Methodologies, Gary works with people who are in or nearing retirement to find solutions to help them enjoy their retirement years. With a background in traditional financial planning, Gary has pioneered strategies that protect his clients from volatile and risky financial investments while helping them grow their retirement income.

Qualifications CRD# 2881
Series 7, 63

Office Location 10 Madison Ave, 3rd Floor,
Phone Number (973) 5312159

As a Wealth Management Advisor, Phil works closely with his clients to put together comprehensive financial plans. With each new plan, Phil addresses immediate personal and business needs in conjunction with a long term vision for each clients ideal financial future. Phil has always been passionate about working in finance and finds no greater reward than helping his clients meet and exceed their personal and professional financial milestones. Phils expertise centers around creating a personalized, unique, and sophisticated holistic financial blueprint that addresses retirement planning, wealth accumulation, and risk management solutions. Phils work as a young entrepreneur has laid a strong framework to grow with his clients through each of lifes major milestones. Whether you are approaching retirement, starting a business, growing your family, or purchasing a new home, Phil strives to enable his clients to meet and exceed their financial objectives while providing guidance, support, and creative solutions throughout the process. Phil embraces a client first mentality working constantly to provide premier client service, education on all possible solutions, and diligent oversight of assets, all in a uniquely collaborative, engaging, and professional approach.

About Northwestern Mutual

Financial security is something many of us strive to achieve in our lives. You try to do what is right for those you care about, but the wrong financial decision can often undermine the best of intentions. Whether you are concerned for your own financial needs or those of your family or your business, I can help you identify your goals and dreams and develop a plan that addresses these needs to get you started on the path to financial security. My team and I bring PASSION and commitment to the work we do each day. As your financial partner, we believe in collaboration and TEAMWORK to help you and your family achieve the financial success that you have worked toward your entire life. We believe that FAMILY always comes first and are dedicated to making sure you can create memories with your loved ones knowing you have a team of professionals guiding your financials decisions. With INTEGRITY at the forefront of our values, we will strive to be loyal, honest and steadfast allies in helping you achieve a secure financial future.

Office Location 55 Madison Ave,
Suite 300,
Phone Number (973) 6329539

A well-respected East Coast Wealth Adviser, Bruce Fitzsimmons has helped people of all ages develop strategies to accumulate wealth. He tailors flexible planning solutions that help his clients pursue their current financial goals while positioning their portfolios for the future. His areas of experience include retirement planning, tax planning, estate planning and investment management. Bruce has worked in the financial services industry since 2007. Previously, he worked for AXA Financial Advisors, specializing in insurance and financial planning. Bruce joined United Capital because he believes the firms team approach and goals-oriented process provide clients with innovative solutions rarely available at other financial planning institutions. He holds Series 7 and 66 securities registrations, as well as Life and Health Insurance license. Bruce is a 2003 graduate of Centenary College, where he earned his degree in Business Administration. He has been married to his wife, Susan for 7 years. They have two young daughters.A lifelong resident of New Jersey, Bruce enjoys the outdoors, sporting events and spending time with his friends and family.

About United Capital Financial Advisers, Inc.

Not all wealth management firms are created equal. Over the past decade our firm, held to the fiduciary standard, transformed the traditional wealth management process, using it to help improve the lives of our clients. Our goal is to give genuine control over financial life. We have developed a dynamic process based on the life you want to lead and continually adapt to the changing world and your needs. After all, isn't it ensuring that you can live the life you want what a wealth manager is for? We call it Financial Life Management.

Qualifications CRD# 5231486
FirmCRD# 107764
Series 65

Office Location 234 Kinderkamack Rd,
Phone Number (201) 2621040

Eric Mancini is a CFA Charterholder, a Certified Financial Planner (CFP®), a Chartered Alternative Investment Analyst (CAIA®), and the director of investment research at Traphagen. Eric graduated Penn State University with a BS in Economics. He specializes in portfolio management and personal financial planning while also working with clients on insurance and tax planning. Eric has obtained the Certified Financial Planner CFP® designation, the NASD Series 65 license, the NJ Life and Health Insurance license, the CAIA® (Chartered Alternative Investment Analyst) designation. Prior to joining TFG, Eric worked as a wealth advisor for high net worth individuals at Brinton Eaton Advisors (now Mariner). Previously, Eric was a financial advisor and investment analyst at BLS Advisors, LLC, where he worked on elder care estate and investment planning. He is also a NAPFA (National Association of Personal Financial Advisors) registered advisor. Eric is currently teaching a series of investment and retirement planning courses at Bergen County Community College. Eric is a staff writer for Benzinga, where he regularly writes articles on portfolio management, economic analysis, and stocks. His work has appeared on other financial websites such as Yahoo! Finance, Fox Business News, among others. He has recently been interviewed by the Wall street Journal and US News & World Report. Over the past 3 years, Eric has been a regular guest host on the 'Your Money' radio show which airs on SiriusXM.

About Traphagen Financial Group

Our Mission To achieve financial success by building wealth, limiting risk & attaining financial security for our clients & their families through a life cycle of services. Overview Traphagen Financial Group is a comprehensive financial services firm comprised of accounting and wealth management departments located in , Oradell, NJ. Our Accounting department specializes in taxation, financial reporting & advisory services, including financing and M&A. Our wealth management department manages client investment assets and provides comprehensive estate, tax, and financial planning services. The Traphagen experience is based on a tradition of trust and integrity. We are uniquely positioned to be your trusted financial advisor. TFG professionals combine the value of their individual credentials to achieve a comprehensive view of both your business and personal goals and objectives. We are continuously commended for our excellent client service and depth of service provided. We know you are our most valuable asset and we always put your needs first. Traphagen Financial Group is personally dedicated to the success of our clients and their business. We are compassionate and we treat our clients like family. While many of our clients are located in Northern New Jersey and the Metropolitan area, we service clients throughout the United States.

Qualifications CRD# 2724748
FirmCRD# 6363
Series 7, 24, 63, 65

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

Office Location 767 Third Avenue, 38th Floor,
New York,
Phone Number (212) 7592022

About Iron Birch Advisors

Iron Birch Advisors is a subsidiary of Ameriprise. We run this organization as a boutique practice with personalized care and attention. We attempt to meet with every client at least quarterly and a much larger in depth meeting, annually. Prior to becoming a client, several meetings are generally necessary to asses ones needs, appetite for risk and the goals of the individual and/or family.

Qualifications CRD# 285985
FirmCRD# 285985

Office Location 950 Third Avenue,
18th Floor,
New York,
Phone Number (212) 8992737

About MayTech Global Investments

MayTech Global Investments, LLC, launched in January 2017, is an SEC Registered Investment Advisor. The founding partners own 100 percent of the firm, including a 35 percent woman-owned stake. The investment team, based in New York, has been investing globally on average for more than 20 years.

Qualifications FirmCRD# 113299

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

Office Location 406 Forest Ave.,
Staten Island,
Phone Number (888) 7526742

Formal Education: Bachelor of Arts in Communication, Rutgers University Business Background: Stephen Sassi has been an investment advisor for 14 years, and has been with Edelman Financial Services since 2016. Recent Employment History: 2016–Present: Associate Director of Financial Planning for Edelman Financial Services. Provides financial advice to clients. 2013–2016: Vice President/ Financial Consultant at Charles Schwab. Provided financial advice to clients. 2008–2013: Financial Advisor at Merrill Lynch. Provided financial advice to clients. Professional Designation(s): Chartered Retirement Planning Counselor℠

About Edelman Financial Services, LLC

Founded by Ric and Jean Edelman in 1987, Edelman Financial Services is one of the nation's largest independent financial planning firms1 with 164 financial planners and 43 offices coast-to-coast, provides financial planning and investment management services to more than 36,000 individuals and families, and manages more than $21 billion in assets.2 The firm also provides 401(k) plans and institutional investment management for businesses. Edelman Financial Services has won more than 100 financial, business, community and philanthropic awards,3 and offers an investment philosophy that puts clients first and delivers value through in-depth financial education, personalized financial plans and unfettered access to planners.

Qualifications CRD# 2081179

Office Location 59 Mine Brook Road,
Suite 201,
Phone Number (201) 3143245

Sekhar Vemparala has had over 27 years of experience as a financial advisor who holds his CFP, CLU, CAP, and ChFC designations. He is a member of the Member Forum 400 as well as the Member Financial Planning Association and has provided customized solutions for high-net worth individuals since the start of his career.

About Wealth Planning Adivsory Group

Wealth Planning Advisory Group is a financial planning firm founded in 1990 that provides financial, estate, retirement, insurance, and tax planning services to individuals, corporations, and small businesses located within the United States, Switzerland, and India. We have adapted a unique trademarked process known as the wealthDNA® process that allows us to pool a network of advisors and finance professionals to help tackle complex issues for clients seeking leadership and direction. Feel free to contact us for a free initial consultation at (201) 314-3245

Qualifications CRD# 4716523
Series 66

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

Office Location 320 Raritan Avenue, Suite 302,
Highland Park,
Phone Number (732) 2485777

About Palmerston Group Advisors, LLC

Palmerston Group Advisors, a firm best known for its Margin of Safety discipline, built its strategy only after carefully studying the best in the business. Consider: 1. Few fund managers have genuinely market-beating records of ten or more years. 2. Most of this elite group uses a version of Margin of Safety, the skill of buying assets when "on sale" at a deep discount to their true value. Most excel in bear markets. 3. Few advisors strategically focus on these top managers or their investment ideas when creating client portfolios. Nor do many independent firms focus on these managers when offering allocation advice. In contrast, Palmerston sees these top managers as a huge asset for our clients. We start with what works best, and thus use Margin of Safety for all clients. For client portfolios, we use the ideas and often the (no-load) funds of managers with proven, profitable records.

Qualifications CRD# 1183323
Series 6, 7, 24, 63 Investment Advisor Representative

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

Office Location 12 Christopher Way,
Suite #200,
Phone Number (732) 9822170

A resident of Monmouth County since 1968, Dan is a graduate of Monmouth University in West Long Branch with a B.S. in Psychology. In 1999 Dan recognized the need for personalized investment advice by working with employees of the small business pension plan market. As a result, he has become a strong influence in crafting a solution for this underserved population. Dan specializes in delivering wealth management solutions to a growing affluent population. His customizable six step process designs and implements clear strategies that have the potential to increase the probability of long term financial security. His twenty years as a trader in the U.S. Treasury markets for firms including Garban LLC and Cantor Fitzgerald have provided him with an immense and diverse experience in the global capital markets. Today Dan delivers his consulting process to clients by designing and implementing sound strategies for pursuing their wealth management and preservation goals while collaborating with their other trusted advisers, including their legal team and tax team. In his spare time, Dan continues his discipline as a martial artist and travels with his family in pursuit of exotic surfing destinations.

About DC Strategies, Integrated Wealth Mgt.

Assisting clients in understanding where they are today can be critical in setting attainable financial and personal goals for the future. We are a fee based "Wealth Management" firm that takes a comprehensive approach to clarifying and organizing our client's financial affairs. We provide ongoing education and insight to navigating the complexities of growing and maintaining "Wealth" while our clients benefit from a more balanced life. Our pledge is to provide quality information so that individuals may make sound choices about their financial future. Ultimately, our greatest impact may be the confidence that comes with working with an Adviser that will educate his clients in the options that are available,and implement those strategies in simple and easy to understand terms.

Qualifications CRD# 2190861
FirmCRD# 104510
Series 4, 6, 7, 24, 26, 53, 63, 66

Compensation/Fee I am a Fee-Based financial professional

Office Location 1275 Glenlivet Dr. Suite 100,
Phone Number (484) 2243056

Joined Financial Engines in 2007. Began his career in the financial services industry in 1982. Successfully completed the Series 4, 7, 24, 53, and 66 examination(s) administered by FINRA. Earned the Chartered Mutual Fund CounselorSM (CMFC®) certification(s). Master's degree in Finance and Marketing from University of Connecticut and Bachelor's degree in English from University of Rochester. Married to Michele. They have two children: Matthew and Hannah. Harry enjoys music, reading, movies, sailing, and spending time with family.

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# 5742628
FirmCRD# 104510
Series 7, 63, 65

Compensation/Fee I am a Fee-Based financial professional

Office Location 600 West Germantown Pike,
Suite 100,
Plymouth Meeting,
Phone Number (610) 2398323

Joined Financial Engines in 2014. Began his career in the financial services industry in 2007. Successfully completed the Series 7, 63, and 65 examination(s) administered by FINRA. Earned the Chartered Retirement Planning CounselorSM (CRPC®) certification(s). Bachelor's degree in Business Administration from Millersville University. Hometown is Downingtown, PA. Zach enjoys golfing, working out, and Philadelphia sports.

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 Caldwell, New Jersey
Greenwich Financial Group, LLC Caldwell, NJ
Stonebridge Capital Mgmt West Caldwell, NJ
New England Financial Fairfield, NJ
Oppenheimer Fairfield, NJ
Oppenheimer @ Co. Fairfield, NJ
Wachovia Securities Mountainside, NJ
Linsco/Private Ledger Livingston, NJ
WSGriffith Securities East Hanover, NJ
DPC Management, LLC Ramsey, NJ
Regency Wealth Management Ramsey, NJ
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