AdFi

Browse financial advisors

Compare investment adviser representatives and registered brokers by experience and registrations — compiled from public SEC and FINRA records.

Showing 24 advisors (page 2+)
CA

Colleen Anne Friess

North Carolina·CRD #8075523
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

States
2
Exams
3
Since
2026
Est. fee
AUM / Commission / Flat Fee
View profile
CA

Colleen Anne McGraw

Minnesota·CRD #5188034
Dual-registered

Dual-registered at RBC CAPITAL MARKETS, LLC

Experience
20 yrs
States
1
Exams
7
Since
2006
Est. fee
AUM / Flat Fee
View profile
CA

Colleen Ann Schueneman

Florida·CRD #2361751
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
32 yrs
States
2
Exams
6
Since
1994
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
CA

Colleen Ann Walsh

New York·CRD #6388791
Dual-registered

Dual-registered at EQUITABLE ADVISORS, LLC

Experience
8 yrs
States
2
Exams
4
Since
2018
Est. fee
AUM / Hourly / Flat Fee
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CA

Colleen Ann Ziegler

Texas·CRD #2146852
Dual-registered

Dual-registered at INVESCO ADVISERS, INC.

Experience
32 yrs
States
1
Exams
4
Since
1994
Est. fee
AUM / Performance-based
Minimum
$50.0M
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CB

Colleen B Shepard

District Of Columbia·CRD #2091895
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
36 yrs
States
2
Exams
4
Since
1990
Est. fee
AUM / Commission / Flat Fee
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CC

Colleen Carroccio Gormley

District Of Columbia·CRD #6259538
Dual-registered

Dual-registered at RBC CAPITAL MARKETS, LLC

Experience
12 yrs
States
3
Exams
3
Since
2014
Est. fee
AUM / Flat Fee
View profile
CC

Colleen C. Kirkpatrick

Louisiana·CRD #1849903
Dual-registered

Dual-registered at RBC CAPITAL MARKETS, LLC

Experience
28 yrs
States
1
Exams
4
Since
1998
Est. fee
AUM / Flat Fee
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CC

Colleen Coonce

Illinois·CRD #5402025
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
16 yrs
States
3
Exams
3
Since
2010
Est. fee
AUM / Commission / Flat Fee
View profile
CE

Colleen E Donnelly

Wisconsin·CRD #7240351
IA Rep

Investment Adviser Rep at THOMPSON INVESTMENT MANAGEMENT, INC.

Experience
6 yrs
States
1
Exams
1
Since
2020
Est. fee
AUM / Flat Fee
Minimum
$100k
View profile
CE

Colleen Elizabeth Anderson

Wisconsin·CRD #6660739
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
10 yrs
States
1
Exams
5
Since
2016
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
CE

Colleen Elizabeth Cusick

California·CRD #1235779
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
42 yrs
States
3
Exams
7
Since
1984
Est. fee
AUM / Commission / Flat Fee
View profile
CE

Colleen Elizabeth Kelly

California·CRD #6113816
Dual-registered

Dual-registered at LIDO

Experience
12 yrs
States
5
Exams
3
Since
2014
Est. fee
AUM / Hourly / Flat Fee / Performance-based
Minimum
$1.0M
View profile
CE

Colleen E Sousa

Rhode Island·CRD #8156518
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
1 yrs
States
1
Exams
3
Since
2025
Est. fee
AUM / Commission / Flat Fee
View profile
CJ

Colleen Janell Baker

Texas·CRD #8178116
IA Rep

Investment Adviser Rep at NEWEDGE ADVISORS

Experience
1 yrs
States
1
Exams
1
Since
2025
Fee
AUM / Hourly / Flat Fee
View profile
CK

Colleen K. Kavanaugh

New York·CRD #2390849
Dual-registered

Dual-registered at EQUITABLE ADVISORS, LLC

Experience
21 yrs
States
1
Exams
4
Since
2005
Est. fee
AUM / Hourly / Flat Fee
View profile
CK

Colleen Kroeger

Washington·CRD #4719827
IA Rep

Investment Adviser Rep at HIGHTOWER ADVISORS, LLC

Experience
18 yrs
States
1
Since
2008
Est. fee
AUM / Hourly / Flat Fee / Other
View profile
CL

Colleen L McGettrick

Massachusetts·CRD #5229830
Dual-registered

Dual-registered at MARTHA'S VINEYARD INVESTMENT ADVISORS, LLC

Experience
4 yrs
States
1
Exams
3
Since
2022
Est. fee
AUM / Hourly / Flat Fee
View profile
CM

Colleen Marie Alcin

Minnesota·CRD #2540078
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
16 yrs
States
2
Exams
4
Since
2010
Est. fee
AUM / Commission / Flat Fee
View profile
CM

Colleen Marie Bucknum

Alaska·CRD #6333081
Dual-registered

Dual-registered at HSBC SECURITIES (USA) INC.

Experience
11 yrs
States
21
Exams
4
Since
2015
Est. fee
AUM / Flat Fee / Performance-based
Minimum
$50k
View profile
CM

Colleen Marie Dixon

Virginia·CRD #6134721
IA Rep

Investment Adviser Rep at FIRST CITIZENS ASSET MANAGEMENT, INC

Experience
6 yrs
States
1
Exams
4
Since
2020
Fee
AUM
View profile
CM

Colleen Marie Graff

California·CRD #2859156
Dual-registered

Dual-registered at CABIN ADVISORS, LLC

Experience
14 yrs
States
2
Exams
7
Since
2012
Est. fee
AUM / Hourly / Flat Fee
Minimum
$25k
View profile
CM

Colleen Marie Sharkey

Connecticut·CRD #2883604
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
29 yrs
States
2
Exams
3
Since
1997
Est. fee
AUM / Commission / Flat Fee
View profile
CM

Colleen Marie Stutz

Texas·CRD #4353832
Dual-registered

Dual-registered at EAGLE STRATEGIES LLC

Experience
25 yrs
States
2
Exams
5
Since
2001
Est. fee
AUM / Hourly / Flat Fee
View profile

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Disclaimer

This directory contains publicly available information from SEC IAPD (Investment Adviser Public Disclosure) and FINRA BrokerCheck. The information is provided for informational purposes only and does not constitute a recommendation or endorsement. Please conduct your own due diligence and consult with a qualified professional before making any investment decisions.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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