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Qualifications of Financial Advisor in New York

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 New York, New York
Financial Advisor Office Location Phone Number
Peter Levine, CFP®, ChFC®, CLU®,
Ameriprise Financial Services, Inc.
481 8th Avenue,
New York, NY  10001
(212) 967-1428
Ken Nuttall CFP®,
BlackDiamond Wealth Management
404 5th Ave 3rd Floor,
New York, NY  10016
(212) 328-1762
Arden Rodgers, CFA,
Arbus Capital Management, LLC
765 Amsterdam Ave., Suite #4C,
New York, NY  10025
(646) 852-6134
Stephen Sassi,
Edelman Financial Services, LLC
406 Forest Ave.,
Staten Island, NY  10301
(888) 752-6742
James J. Di Gesu,
Wealth Health LLC
5 Becker Rd,
Roseland, NJ  07068
(973) 535-9577
Frank Lepore,
Bleakley Financial Group
100 Passaic Avenue,
Fairfield, NJ  07004
(973) 244-4237
Peter Gellman,
Palmerston Group Advisors, LLC
320 Raritan Avenue, Suite 302,
Highland Park, NJ  08904
(732) 248-5777
PHILIP CAPELL, CFP®, JD, MS in Tax,
Piermont Wealth Management Inc.
48 South Service Road,
Melville, NY  11747
(631) 454-1585

Information on Qualified Financial Advisors in New York

Qualifications CRD# 4022345
FirmCRD# 6363
Series 7, 63, 64

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


Office Location 481 8th Avenue,
Suite 507,
New York,
NY 
10001

Phone Number (212) 9671428

About Ameriprise Financial Services, Inc.

As an Ameriprise financial advisor, I believe success should be measured not just by your financial well-being, but by how confident you feel about your future. My mission is to help you plan to reach your financial goals through a personal relationship based on personalized, knowledgeable advice. Advisor is licensed/registered to do business with U.S. residents only in the states of CA, CT, DE, FL, IN, IL, IA, NJ, NY, PA. Investment advisory services and products are made available through Ameriprise Financial Services, Inc., a registered investment adviser. Ameriprise Financial Services, Inc., Member FINRA and SIPC. Ameriprise Financial can not guarantee future financial results



Qualifications CRD# 6704812
Series 65

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


Office Location 404 5th Ave 3rd Floor,
New York,
NY 
10016

Phone Number (212) 3281762

Ken Nuttall received a Bachelors of Science degree with a double major of Finance and Marketing from University of Delaware in 1999 and a Masters of Business Administration from Pace University in 2006. After college, Ken spent 17 years working in various risk and trading roles at JP Morgan Chase. All throughout his career at JP Morgan Chase, he had a strong interest in helping people with their personal finances and decided to pursue this interest by moving to Acorn Financial, where he could assist families and businesses in financial planning, investments, retirement and insurance. Ken enjoys helping families with strategies for the accumulation, distribution and the protection of wealth, college funding and retirement planning. Ken enjoys learning about his clients needs and goals and then educating them as to the different options available by using the appropriate financial products and services to help to achieve that goal. To achieve financial goals, Ken believes that everyone should have a financial plan and works with clients to create and implement these plans. Ken also works with businesses in the design and implementation of employee benefits, retirement plans, 401(k) and group benefits.

About BlackDiamond Wealth Management

We are a modern boutique financial planning firm. Our firm is built on the understanding that every person is different and has unique circumstances that need to be addressed. Therefore, we always start with a financial plan to help everyone understand what is important to our clients and their family. We employ a comprehensive planning approach combined with sophisticated technology designed to optimize your results and help achieve your financial goals. We have years of experience collaborating with clients like you. We believe your financial information should be organized, up to date, easy to understand and accessible to you whenever you want, from where you are. We understand that unexpected events and life changes can impact your dreams. We monitor and track your progress every day and adjust your financial plans along the way.



Qualifications CRD# 148709
FirmCRD# 148709
Series 65

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


Office Location 765 Amsterdam Ave., Suite #4C,
New York,
NY 
10025

Phone Number (646) 8526134

Arbus Capital Management is a fee-only registered investment advisor providing investment management services and consulting to individuals and institutions. As an independent advisor, Arbus Capital Management offers unbiased advice to clients based on their particular needs, goals, and investment profiles. For more information, please call (646) 852-6134

About Arbus Capital Management, LLC

Capital Management Overview Founded in 2008, Arbus Capital Management is a fee-only registered investment advisor providing investment management services and consulting to individuals and institutions. Arden Rodgers, CFA, is the founder and principal of the firm. Investment management and advice is based solely on the client’s individual needs, goals, and objectives, and not on sales commissions, bonuses, referral fees, or other factors that could generate potential conflicts of interest. Arbus Capital Management and its principal are bound by the CFA Institute Code of Ethics and Standards of Professional Conduct, which requires all members to place clients’ interests ahead of their own.




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,
NY 
10301

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# 2295344
Series 63

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


Office Location 5 Becker Rd,
Roseland,
NJ 
07068

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# 4695659
Series 6, 7, 65, 66

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


Office Location 100 Passaic Avenue,
Suite 300,
Fairfield,
NJ 
07004

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# 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,
NJ 
08904

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# 119376

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


Office Location 48 South Service Road,
Suite 102,
Melville,
NY 
11747

Phone Number (631) 4541585

Mr. Capell, CEO of Piermont, has been educating and assisting individuals and families with retirement, financial, & estate planning for over 20 years. He focuses on each client’s financial needs, be it capital preservation or growth, income at retirement, and/or tax planning. Upon constructing a financial plan, Mr. Capell builds a portfolio asset allocation suitable to his client’s objectives and risk tolerance. Philip is married with two sons and a daughter residing on Long Island. He is a multi-marathon finisher and an Ironman triathlon finisher. Education: College: Cornell University, Ithaca, New York, B.S. 1987. Law School: Washington School of Law, American University, Washington D.C., J.D. 1990. Graduate School: Pace University, New York, New York, M.S. in Taxation 1998. Memberships, Organizations & Offices: National Association of Personal Financial Advisors-accepted Member of the Nation's premier Fee-only Financial Planning organization. Financial Planning Association - member. Community, Articles & Pro Bono Activities: Monthly Guest speaker on Hofstra University's Bottom Line Benefit Talk show (WRHU 88.7 FM) Past Lecturer for Charles Schwab, Merrill Lynch, HSBC, MorganStanley (f/k/a Salomon SmithBarney), HSBC (f/k/a Republic National Bank), GreenPoint Bank, Mutual of New York Insurance, New York Life Insurance, MetLife Insurance, American Cancer Society, the New York State Society of CPAs, the New York State Bar Association, and the Nassau County Bar Association.

About Piermont Wealth Management Inc.

PIERMONT prides itself on helping investors plan for RETIREMENT; or if already retired, then on maximizing their RETIREMENT income and investment returns. Our team of experienced financial professionals focuses on providing RETIREMENT SOLUTIONS to Pre-retirees and Retirees. As an independent, non-commissioned/fee-only firm, we offer a FREE CONSULTATION so that we can understand your needs & objectives. Once we establish your financial plan, our investment team is able to manage your portfolio. We use an asset allocation investment strategy so as to maximize returns in light of your risk tolerance. We are confident we can help you achieve your financial goals and look forward to hearing from you.



List of Additional Financial Advisors in or around New York, New York
CLD Investment Group, LLC New York, NY
Clearbridge Investments, Llc New York, NY
Smith Barney New York, NY
US Planning Group New York, NY
National Securities New York, NY
US Planning Group - A New York Corp. New York, NY
US Planning Group New York, NY
Reiser Group of Wachovia Securities New York, NY
Salvatore Albanese & Co. LLC New York, NY
AXA Advisors, LLC New York, NY
AXA Advisors, LLC New York, NY
AXA Advisors, LLC New York, NY
AXA Advisors, LLC New York, NY
American Express Financial Advisors New York, NY
Ameriprise Financial Services New York, NY
Ameriprise Financial Services, Inc. New York, NY
Post Rock Advisors, Llc New York, NY
Cowan Financial New York, NY
Griffin Asset Management, Inc. New York, NY
Roundtable Investment Partners New York, NY
Higger & Associates, LLC New York, NY
The Winchester Group, Inc. New York, NY
InnerHarbor Advisors LLC New York, NY
Burnham Securities Inc New York, NY
Burnham Asset Management Corp New York, NY
Joseph Stevens & Company, Inc. New York, NY
Jennison Associates Llc New York, NY
Klingenstein, Fields & Co., Llc New York, NY
MJR Financial Management Leicester, NY
The Winchester Group, Inc. New York, NY
Boyar Asset Management, Inc. New York, NY
Merrill Lynch New York, NY
Merrill Lynch New York, NY
Morga Stanley New York, NY
Morgan Stanley New York, NY
Morgan Stanley New York, NY
Morgan Stanley New York, NY
Morgan Stanley New York, NY
Morgan Stanley New York, NY
Goldman Capital Management, Inc. New York, NY
New York Life New York, NY
Gilder Gagnon Howe & Co. Llc New York, NY
Northwestern Mutual New York, NY
Elco Management Company, Llc New York, NY
Raymond James Financial Services, Inc. New York, NY
European Investors Inc New York, NY
Eii Realty Securities Inc New York, NY
Ruane, Cunniff & Goldfarb Inc. New York, NY
Ruane, Cunniff & Goldfarb Inc. New York, NY
Baron Capital Management, Inc. New York, NY
Sands Brothers & Co. New York, NY
Kimelman & Baird, Llc New York, NY
Chesapeake Asset Management Llc New York, NY
Goldman Capital Management, Inc. New York, NY
UBS Financial Services New York, NY
William G Green CPA, PC New York, NY
Solaris Asset Management New York, NY
Solaris Advisors, Llc New York, NY
Solaris Alternative Asset Management New York, NY
First Manhattan Co New York, NY
Domini Social Investments Llc New York, NY
Deltec Asset Management Llc New York, NY
Deltec Asset Management Llc New York, NY
Estabrook Capital Management Llc New York, NY
Cantor, Weiss & Wurm Asset Management New York, NY
First Manhattan Co New York, NY
Peter B. Cannell & Co., Inc. New York, NY
Ascension Asset Management Llc New York, NY
JP Morgan Chase New York, NY
Schafer Cullen Capital Management Inc New York, NY
Merrill Lynch New York, NY
Merrill Lynch New York, NY
Dominick & Dominick Llc New York, NY
Allen Investment Management, Llc New York, NY
Lord Capital Management LLC New York, NY
Eagle Capital Management Llc New York, NY
Penbrook Management Llc New York, NY
Bryden-Abrams Investment Management Llc New York, NY
Concord Investment Management New York, NY
Kahn Brothers Advisors Llc New York, NY
Altanes Investments, LLC New York, NY
L.J. Altfest & Co. New York, NY
Omega Advisors,Inc. New York, NY
Benchmark Capital Advisors, Inc. New York, NY
Merrill Lynch World Headquarters NYC New York, NY
Wellington Shields & Co., Llc New York, NY
Wellington Shields Capital Management, Llc New York, NY
Oaktree Asset Management, LLC New York, NY
Sam Advis New York, NY
Signature Securities New York, NY
Omega Advisors,Inc. New York, NY
Wellington Shields & Co., Llc New York, NY
Wellington Shields Capital Management, Llc New York, NY
UBS Financial Services Inc. New York, NY
du Pasquier Asset Management New York, NY
FatTail Financial Advisory Group Inc. Brooklyn, NY
Peter D. Sheran, CPA Brooklyn, NY
Slope Advisory Services Brookyn, NY
Keeler & Co., LLC Englewood Cliffs, NJ
DPC Management, LLC Ramsey, NJ
Regency Wealth Management Ramsey, NJ

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