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Find Top Financial Advisors in Southlake


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Qualifications of Financial Advisor in Southlake

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 Southlake, Texas
Financial Advisor Office Location Phone Number
Kenneth Beber
Peak Financial, Inc.
1011 Surry Lane,
Flower Mound, TX  75022
(469) 322-1210
Dan Richey
Edelman Financial Engines, LLC
5605 North MacArthur Blvd.,
Irving, TX  75038
4500 Mercantile Plaza Dr,
Ft Worth, TX  76137
(214) 705-7622
Michael R. Duke
Duke Financial & Insurance Strategies
1521 N Cooper St.,
Arlington, TX  76011
(682) 503-6565
Zach Allen
Disciplined Advisor Group
5005 LBJ Freeway,
Dallas, TX  75244
(214) 545-3305
Justin Gedlen CFP®, CRC®
First Financial Equity Corporation
5005 LBJ Freeway,
Dallas, TX  75244
(214) 545-3310
Justin Farris
Farris Capital Management Inc
14800 Quorum Drive,
Dallas, TX  75254
(214) 525-2141
Aaron Cherry
Edelman Financial Engines, LLC
13727 Noel Road Tower 2,
Dallas, TX  75240
(469) 250-5659
John Kvale, CFA®, CFP®
J.K. Financial, Inc.
8222 Douglas Avenue,
Dallas, TX  75225
(214) 706-4300
Waits Financial Group
Waits Financial Group
7110 Pecan Street,
Frisco, TX  75034
(972) 581-3077
Dan Richey
Edelman Financial Engines, LLC
8000 Coit Road,
Plano, TX  75025
(214) 705-7622

Information on Qualified Financial Advisors in Southlake

Qualifications CRD# 4257664
Series 6, 7, 63, 66

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


Office Location 1011 Surry Lane,
Bldg. 200, Suite 16,
Flower Mound,
TX 
75022
Phone Number (469) 3221210

About Peak Financial, Inc.

I have been an Independent Financial Service Representative since 2000, and have been involved in business management and finances for over 20 years. As any independent advisor, I specialize in working with individuals and small businesses to provide solutions that help his clients to reach their financial goals. While some financial advisors focus on selling products, I focus on solutions, specifically customizing plans to suit my clients' individual needs. I educate clients to lessen their worries and to help them make more informed financial decisions, by offering a professional, independent and unbiased viewpoint. I focus on helping a select group of high net worth individuals and retirees to manage all aspects of their financial lives from investment strategies, retirement planning, estate planning issues, risk management and retirement income distribution. Registered Representative offering securities and advisory services through Independent Financial Group LLC, a registered broker-dealer and investment adviser. Member FINRA & SIPC.



Qualifications CRD# 5375720
FirmCRD# 104510
Series 7, 24, 66

Compensation/Fee Fee Based Only - No Commissions


Office Location 5605 North MacArthur Blvd.,
10th Floor,
Irving,
TX 
75038
Phone Number (214) 7057622

Office Location 4500 Mercantile Plaza Dr,
Suite 300,
Ft Worth,TX  76137

Joined Edelman Financial Engines in 2017. Began his career in the financial services industry in 2005. Successfully completed the Series 7, 24, and 66 examination(s) administered by FINRA. Belongs to the Young Men Christian Leadership Club. Bachelor Degree in Political Science from University of North Texas. Married to Laura. They have two children: Lincoln and Hannah. Dan enjoys traveling, playing basketball and volleyball, spending time with his family and he is a car enthusiast.

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.



Qualifications CRD# 4264783
FirmCRD# 5167
Series 6, 7, 63, 66


Office Location 1521 N Cooper St.,
Suite 335,
Arlington,
TX 
76011
Phone Number (682) 5036565

As the founder of Duke Financial and Insurance Strategies, Mike Duke is driven by his confidence in his ability to assist his clients in making the financial planning process less complicated. He is passionate about building a firm foundation with his clients and their families. Duke Financial and Insurance Strategies strives to help clients in a capacity that is in their own best interest. Mike Duke has a Bachelor of Applied Arts and Science from the University of North Texas. In 1999 he began working in the financial services through the banking industry, and in 2009 he transitioned his career to New York Life to help broaden his experience and expertise. Mikes personal ethics demand that he serve with the utmost integrity; he values honor, compassion and understanding. These values combined with sheer determination and quality mentorship has led him to expand into Duke Financial and Insurance Strategies. Mike Duke is very involved with his family. He volunteers at his church as a member of the Knights of Columbus. He is the father of two daughters and is their biggest fan as they participate in volleyball and gymnastics; he is definitely a front row observer. He cherishes his father-daughter dates and works side-by-side with his wife, Shannan. Together daily, they are making Duke Financial and Insurance Strategies grow and succeed.

About Duke Financial & Insurance Strategies

We believe our reputation precedes us and it is of upmost importance to us to protect it. We promise to be the best that we can be which in return, will help you to succeed. When you work with us, we promise to uphold our core values of: Integrity ? We will honor our word and follow through with whatever actions become part of your plan. Whatever the situation or challenge may be, we promise to provide sound solutions. We will do the very best job that we can for you and your family to ensure that your financial needs are taken care of. Respect ? You will recognize that we genuinely care. We will listen and handle every situation with compassion and understanding. Thoughtfulness ? We will be as thorough in our research as possible before providing you with solutions. No task will be left half-finished. We will ask you the hard questions to retrieve in-depth, useful information to ensure our recommendations are the best for your unique situation. Knowledge ? We will strive to be the best of the best. We believe in being professional students of our industry so that there is never a question that does not have a suitable answer for you. We are always learning, always growing, and always pursuing continuing education that will benefit your needs.



Qualifications CRD# 5059261
Series 7, 66

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


Office Location 5005 LBJ Freeway,
Suite 1410,
Dallas,
TX 
75244
Phone Number (214) 5453305

Zach Allen is a partner of Disciplined Advisors Group (DAG). He is responsible for overseeing day to day operations, service, and cultivating relationships in the community and business arenas in the Dallas, TX branch of DAG. Zach began his career in financial services in 2000 as an intern for Morgan Stanley's trading department in New York City. After graduating from the University of Texas at Austin in 2001 with a degree in Economics, Zach earned his law degree from the Sturm College of Law at the University of Denver. While in law school Zach focused on estate planning by working for Bank of America's trust department in Dallas, TX and with the estate planning firm of Ambler and Keenan in Denver, CO. After passing the Colorado State Bar, Zach joined Banc of America Investment Services as a financial adviser in Scottsdale, AZ. In 2009, Zach decided to return to his roots in Dallas and worked for Chase Investment Services as a financial adviser before completing his long term goal of joining DAG to work with his father and Stubbs. Like his father and Stubbs, Zach is committed to the community and most notably was as a committee member for the Fiesta Bowl in Scottsdale , AZ. Zach is an avid golfer and overall sports enthusiast. His is also a proud owner of a chocolate Labrador Retriever.

About Disciplined Advisor Group

We’re here to help you achieve your financial goals, manage your money and ultimately, better your life. Unlike many other investment firms that use a cookie-cutter financial plan for all their investors, we apply our Purpose-Based Asset Management approach. By creating separate compartments for each investor's multiple purposes, we create a structure that allows for a prudent, less emotional investment decision-making process. We believe that markets are efficient and investment returns are determined by asset allocation and the passage of time, not by manager selection or market timing. We are focused on your security and work tirelessly toward one goal: help you achieve financial peace of mind. As a boutique money management firm, we offer you a service that is personal, private and exclusive. We know you can go many places for financial advice, but the clients of Disciplined Advisors Group benefit from the more than six decades of investment experience in which we are backed. As an independent advisory group, our advice is not influenced by a corporate parent and we are free to choose the right solutions for you. At Disciplined Advisors Group – trust, commitment and caring make up the foundation that provides services to our clients.



Qualifications CRD# 5186484
Series 7, 66


Office Location 5005 LBJ Freeway,
Suite 1410,
Dallas,
TX 
75244
Phone Number (214) 5453310

We know financial planning and investing can be a complicated (and sometimes stressful) topic for many people, but it does not have to be. As a Certified Financial Planner (TM) practitioner, Justin's primary focus is not only on helping you reach your financial goals, but helping you understand your path to financial independence. We will talk to you about your finances in a language that makes sense. First Financial Equity Corporation is an independent firm with no in-house investments. This allows Justin to simplify the marketplace and offer unbiased advice. It is with the mindset of a fiduciary that he will help you make smart, informed financial decisions. Our "planning first attitude" leads to recommendations that revolve around a written financial plan, not a sales agenda. Justin earned his Bachelor of Science degree from The University of Wisconsin-Madison and has over 10 years of industry experience. He lives in Highland Village with his wife Hannah and their son Pierce. Even after nearly a decade of Texas residency, he remains devoted to the Wisconsin Badgers and Green Bay Packers&much to his Dallas born wife's dismay.

About First Financial Equity Corporation

It's our goal to help you reach your goals. Our experienced team of investment advisors works together with their clients to pursue their most important financial goals. Founded in 1985, FFEC is a privately owned full-service brokerage firm. As our firm grows, we retain our belief in a conservative, well-diversified, long-term approach to investing. We know that investing can be complex, so we are here to help guide you every step of the way.



Qualifications CRD# 4725738
FirmCRD# 169051
Series 7, 66

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


Office Location 14800 Quorum Drive,
suite 360,
Dallas,
TX 
75254
Phone Number (214) 5252141

Mr. Farris serves clients by providing retirement planning, Tax planning strategies, investments, and risk management advisory services. Justin develops the investment strategies and handles the portfolio management for FCM. Prior to establishing Farris Capital Management, Justin worked at Raymond James and Associates in the Dallas office and was formerly the lead equity analyst and trader for the offices most prominent hedge fund. This experience is where he gained the real world investment knowledge of money management and how to apply research and investment thesis into actionable ideas. He is a CERTIFIED FINANCIAL PLANNER" professional with a degree in Economics from Rice University and also played for the Rice University College World Series Championship baseball team.

About Farris Capital Management Inc

As an independent full-service wealth management firm, we specialize in the practice of investment management and financial planning. Farris Capital Management Inc. maintains an independent and focused approach to advising our clients on all their financial needs. We don't sell products; we provide custom tailored financial solutions and are committed to becoming a lifelong partner to our clients. Professionalism, integrity, hard work, and trust are the basic principles of our company. Our goal is to provide a superior client service experience. What Makes Us Unique - At Farris Capital Management Inc., we build and manage your personalized investment portfolio while incorporating a high quality financial plan for each of your goals. To find out more please visit our website.



Qualifications CRD# 4350375
FirmCRD# 104510
Series 7, 63, 66

Compensation/Fee Fee Based Only - No Commissions


Office Location 13727 Noel Road Tower 2,
Suite 1075,
Dallas,
TX 
75240
Phone Number (469) 2505659

Joined Edelman Financial Engines in 2016. Began his career in the financial services industry in 2006. Earned the Chartered Financial Consultant and Certified Financial Planner certification(s). Bachelor's degree in Business Administration in Marketing from Stephen F. Austin State University and Master of Business Administration in Business Management from University of Dallas.

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.



Qualifications CRD# 2047457
FirmCRD# 114929

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


Office Location 8222 Douglas Avenue,
Suite 590,
Dallas,
TX 
75225
Phone Number (214) 7064300

John A. Kvale CFA, CFP, is the founder of J.K. Financial, Inc. and with 29 years of industry experience is currently the president of J.K.Financial, a fee only total financial planning. J.K. Financial specializes in total concierge financial planning and wealth management. The company has a global presence, serving individual and institutional clients across the United States as well as multiple clients residing in foreign countries.

About J.K. Financial, Inc.

J.K. Financial, Inc. is a Fee Only, Financial Planning and Wealth Management firm that acts as a fiduciary for clients. The firm's founder, John A. Kvale is a CFA Charter holder, and CFP® designee, with 18 years of experience. Incorporated in 1995, with the sole purpose of financial advisory services, J.K. Financial, Inc. is a Registered Investment Advisor with the Securities and Exchange Commission. The firm specializes in investment management, and proactively selects individual equities, ETFs, low cost mutual funds, and individual bonds for client portfolios, on a fully discretionary basis. J.K. Financial, Inc does not accept commissions, soft dollars, or order flow rebates. Members of the firm strictly adhere to the CFA Institute Code of Ethics. The firm currently accepts new clients, with investable assets of $1,000,000 or more.



Qualifications CRD# 2565566
FirmCRD# 10740
Series 7, 24

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


Office Location 7110 Pecan Street,
Frisco,
TX 
75034
Phone Number (972) 5813077

A strong planning process is the best way to create a more financially secure plan. It is crucial to create a financial plan that seeks to protect your needs now, and that plans for the future, in a tax efficient manner. It is our goal to assist you to build a solid financial structure that will stand the test of time and that will grow and build wealth for you and your family. We have established a process to do this that is based on two key aspects of financial security: asset protection and wealth creation. A plan must help ensure financial security throughout your life, for you and for your loved ones. It must provide income replacement and asset protection in the event that the unthinkable were to happen: disability, critical illness or death. The plan must also aim to build the maximum it can via a solid, tax efficient wealth portfolio. With these goals in mind, we will work together to assess your total financial planning needs. We will consider important milestones such as major purchases, marriage, children, education, dreams and retirement. This plan will entail regular review of ongoing financial management strategies. This goal-based financial security planning approach is designed to help you: Define customized short and long-term goals that ensure you choose only the right financial products and services Identify roadblocks or gaps that might impact your financial planning strategy Continually monitor your plan to ensure it meets your changing needs

About Waits Financial Group

We are dedicated to providing investment management and strategic wealth planning to our clients. Simply put, we strive to be our clients trusted advisor. As a financial advisory firm, our primary focus is to provide unbiased opinions that are designed to achieve long term investment results. Waits Financial Group does this with the highest levels of trust, integrity and respect while always collaborating using a team approach. We are dedicated to professionally supporting, educating and providing informed direction to each and every client.



Qualifications CRD# 5375720
FirmCRD# 104510
Series 7, 24, 66

Compensation/Fee Fee Based Only - No Commissions


Office Location 8000 Coit Road,
Suite 600,
Plano,
TX 
75025
Phone Number (214) 7057622

Joined Edelman Financial Engines in 2017. Began his career in the financial services industry in 2005. Successfully completed the Series 7, 24, and 66 examination(s) administered by FINRA. Belongs to the Young Men's Christian Leadership Club. Bachelor's Degree in Political Science from University of North Texas. Married to Laura. They have two children: Lincoln and Hannah. Dan enjoys traveling, playing basketball and volleyball, spending time with his family and he is a car enthusiast.

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.



List of Additional Financial Advisors in or around Southlake, Texas
International Wealth Management Grapevine, TX
Edward Jones Investments Flower Mound, TX
New England Financial Lewisville, TX
Merrill Lynch Dallas, TX
American Express Financial Advisors Arlington, TX
Fox & Company Investments Carrollton, TX
Executive Resources Dallas, TX
Merrill Lynch Fort Worth, TX
Spectrum Financial Group Addison, TX
Spectrum Financial Group Addison, TX
UBS Financial Services, Inc. Addison, TX
Armstrong Purselley Wealth Management Group Dallas, TX
American Express Financial Advisors Dallas, TX
Profisys, LLC Plano, TX
RBC Dain Rauscher Plano, TX
Sagemark Consulting / Lincoln Financial Advisors Dallas, TX
Elite Financial Management Dallas, TX
Quorum Financial Group Dallas, TX
AXA Advisors, LLC Dallas, TX
Bley Investment Group, Inc. Fort Worth, TX
Southwest Texas Capital, LLC Plano, TX
UBS Financial Services Dallas, TX
UBS Financial Services, Inc. Dallas, TX
VanderPal Capital Management LLC Plano, TX
First Southwest Asset Management Inc Dallas, TX
True North Advisors, LLC Dallas, TX
UBS Financial Services, Inc. Dallas, TX
David Hollands & Associates Plano, TX
World Group Securities, Inc. Richardson, TX
American Express Fin Adv Richardson, TX
Ameriprise Financial Services Richardson, TX
Lincoln Financial Advisors Plano, TX
Beacon Financial Group Addison, TX
Marvin M. Slater and Assoc. Dallas, TX