David Hamlin is a CFP® professional with 10 years of experience in financial advising. He is currently with Caruso McLean & Co., Inc. and also works with Empire Retirement Plans, LLC. Outside of his advisory roles, he serves as a notary public. Caruso McLean & Co., Inc. serves individual clients, trusts, pension and profit-sharing plans, charitable organizations, and business entities, offering services including asset management and financial planning. The firm uses model portfolios based on modern portfolio theory, investing primarily in mutual funds and ETFs, and manages approximately $249 million in assets across 104 client relationships.

Chad Carstensen is a financial advisor at Ballast Capital Advisors, LLC with nine years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Ballast since 2016. He is also a board member of the Mohawk Valley Community Action Agency, a nonprofit organization based in Utica, NY. Ballast Capital Advisors primarily serves high-net-worth individuals and institutional clients through discretionary investment management and comprehensive financial planning. The firm emphasizes a liability-driven investment approach focused on fixed income and offers bespoke, bond-centric portfolios to a concentrated client base.

Frances Parent is a CFP® with 34 years of industry experience, currently with Adirondack Financial Services Corp. She has held roles at Hazard & Siegel Inc. and has longstanding involvement with Greenleaf Contracting, Inc. and the Sagamore Institute. Outside of finance, she owns Blue Line Coffee House in Inlet and Old Forge, NY. Adirondack Financial Services provides investment advisory and portfolio management services to individual and institutional clients, employing a client-specific investment process that integrates quantitative screening with qualitative manager and security review. The firm manages approximately $412 million in assets across nearly 600 clients.

Michael Hayduk is a financial advisor at Nathan G. Hanna, LLC with five years of industry experience. He holds a Series 66 designation and has worked at firms including Robert W. Baird & Co. Incorporated and MassMutual Life Insurance Co. Outside of his advisory role, Hayduk coaches varsity basketball at Clinton High School and serves on the financial committee of St. Louis Gonzaga Church. Nathan G. Hanna, LLC provides investment supervisory services and financial planning to individuals, high-net-worth clients, trusts, estates, and charitable organizations. The firm uses multiple analytical methods and employs various trading strategies, including short sales, with a focus on aligning investment plans with client goals, tax considerations, and risk tolerance.

Gregory Mclean is a financial advisor at Caruso McLean & Co., Inc. in Utica, NY, with 45 years of industry experience. He holds Series 63 and Series 66 licenses and has worked at Caruso McLean & Co., Inc. since 1988, as well as with Osaic Wealth, Inc. since 1989 and Empire Retirement Plans, LLC since 2025. Outside of his advisory roles, he serves as President of the Board of Trustees for the Thousand Island Land Trust, a nonprofit organization. Caruso McLean & Co., Inc. serves individual clients, trusts, pension and profit-sharing plans, charitable organizations, and business entities, offering asset management, consulting, and financial planning services. The firm employs five model portfolios based on modern portfolio theory, primarily investing in mutual funds and ETFs, and manages approximately $249 million in assets across about 104 client relationships.

Maxwell Moore is a financial advisor at Birch Wealth Management in Rome, NY, holding Series 63 and Series 65 licenses. He works at a firm with two advisors and provides services including discretionary portfolio management, financial planning, and consulting. Birch Wealth Management serves individual and high-net-worth clients, managing approximately $62 million across about 176 accounts. The firm uses a combination of analytical approaches and focuses on equities, ETFs, and money-market funds, typically managing accounts on a discretionary basis.

Kevin Conway is a financial advisor at Caruso McLean & Co., Inc. with 10 years of industry experience. He holds the Series 66 designation and has worked at Caruso McLean & Co., Inc. since 2013. Conway serves as associate treasurer on the Clinton Central School Foundation board and holds trustee and board member roles with several nonprofit organizations in the Utica, NY area. Caruso McLean & Co., Inc. serves individual clients, trusts, pension and profit-sharing plans, charitable organizations, and business entities. The firm uses modern portfolio theory to construct portfolios across five model allocations, primarily investing in mutual funds and ETFs, and manages both discretionary and non-discretionary accounts.

Stephen Caruso is a financial advisor with Caruso McLean & Co., Inc. in Utica, NY, holding Series 63 and Series 66 licenses and bringing 29 years of industry experience. He has been with Caruso McLean & Co., Inc. since 1996 and also works with Empire Retirement Plans, LLC. Caruso McLean & Co., Inc. serves individual clients, trusts, pension and profit-sharing plans, charitable organizations, and business entities, managing approximately $249 million in assets. The firm employs five model portfolios ranging from Conservative to Aggressive, applying modern portfolio theory with a focus on mutual funds and ETFs, and manages accounts primarily on a non-discretionary basis.

Wayne Brooks is a financial advisor with One Hopper Asset Management in Utica, NY, holding Series 63 and Series 65 licenses and bringing 30 years of industry experience. He has worked at One Hopper Asset Management since 2013 and has been associated with Leigh Baldwin & Co., LLC since 1997. Outside of his advisory role, he is a managing member of a car wash business partly owned by his son. One Hopper Asset Management provides discretionary asset management and financial planning services to individuals, businesses, retirement plans, and charitable institutions. The firm employs a combination of fundamental and technical analysis, using long- and short-term positions and options strategies, with ongoing portfolio management subject to written discretionary authority and regular account reviews.

Joseph Speciale is a financial advisor with One Hopper Asset Management in Utica, NY, holding Series 63 and Series 65 licenses and bringing 27 years of industry experience. He has worked at Leigh Baldwin & Co., L.L.C. since 2000 and joined One Hopper Asset Management in 2022. Outside of advising, he is the owner of Speciale Fireworks Inc., a retail fireworks business. One Hopper Asset Management provides discretionary asset management and financial planning services to individuals, businesses, retirement plans, and charitable institutions. The firm uses a combination of fundamental and technical analysis, incorporating long- and short-term positions and options strategies, with regular portfolio monitoring and client-imposed investment restrictions.

Paige Nashton is a financial advisor at Birch Wealth Management in Rome, NY, holding a Series 65 credential with less than one year of industry experience. Prior to her current role, she has held various positions including work at Best Times Financial and other non-financial roles. She is also a notary public. Birch Wealth Management provides discretionary portfolio management, financial planning, and consulting services to individual and high-net-worth clients. The firm combines diversification principles with technical and fundamental analysis to tailor investment strategies based on clients’ financial goals and risk tolerance.

Iris Buczkowski is a financial advisor at Birch Wealth Management with 20 years of industry experience. She holds Series 63 and Series 65 licenses and previously worked at Cadaret, Grant & Co., Inc., Alan R. Leist Planning Group, Inc., and Strategic Financial Services Inc. Outside of her advisory role, she is a notary public and an independent insurance agent. Birch Wealth Management serves individual and high-net-worth clients with discretionary portfolio management, financial planning, and consulting. The firm combines diversification principles with technical and fundamental analysis to deliver tailored investment solutions.

William Locke is a CFA® charterholder with Adirondack Financial Services Corp in Utica, NY, where he has worked since 2007. He has three years of industry experience. Adirondack Financial Services provides investment advisory and portfolio management services to individual and institutional clients, including companies, trusts, non-profit entities, and defined benefit plans. The firm employs a client-specific investment process that combines quantitative screening and qualitative review, managing approximately $412 million in assets.

John Clark is a CFA® charterholder with three years of industry experience. He has been with Adirondack Financial Services Corp since 2011. Adirondack Financial Services provides investment advisory and portfolio management services to individual and institutional clients, including companies, trusts, non-profit entities, and defined benefit plans. The firm employs a client-specific investment process that combines quantitative screening with qualitative manager and security review, managing approximately $412 million in assets.

Joseph Summa is a CFA® charterholder with 13 years of industry experience. He is an advisor at Ascent Wealth Partners, LLC and previously worked at Purshe Kaplan Sterling Investments from 2012 to 2017. Outside of his advisory role, he serves as a board member and treasurer of Teugega Country Club and is an adjunct professor at Utica College. Ascent Wealth Partners serves individuals, trusts, estates, charitable organizations, businesses, and retirement plans with wealth management, discretionary portfolio management, financial planning, and retirement plan advisory services. The firm employs a primarily long-term investment approach that combines fundamental and technical analysis to build portfolios focused on large-cap equities and high-grade fixed income, supplemented by mutual funds, ETFs, and customized option strategies.

Shannon Cool is a financial advisor at Strategic Financial Services with one year of industry experience. She holds a Series 65 designation and previously worked at Chapter Aesthetic Studio, Mohawk Valley Community College, Hannaford Supermarkets, and Utica University. Strategic Financial Services provides wealth management, institutional advisory, fiduciary retirement plan services, and financial planning to individuals, families, trusts, corporations, not-for-profits, and employer retirement plans. The firm employs model-based investment strategies combined with fundamental analysis and uses digital planning tools to support its client programs.

Christopher Lai is a CFA® charterholder with nine years of industry experience. He has been with Ascent Wealth Partners, LLC since 2011. Ascent Wealth Partners advises individuals, trusts, estates, charitable organizations, businesses, and retirement plans, offering wealth management, discretionary portfolio management, financial planning, and retirement plan advisory services. The firm employs a primarily long-term investment approach that combines fundamental and technical analysis, focusing on large-cap equities and high-grade fixed income, and also utilizes customized option strategies.

Stephen Basile is a financial advisor at Ascent Wealth Partners, LLC with nine years of industry experience. He holds the Series 66 designation and has worked at Ascent since 2018, following prior roles at The Ayco Company, L.P./Mercer Allied and Pentegra Retirement Services. Ascent Wealth Partners advises individuals, trusts, estates, charitable organizations, businesses, and retirement plans, offering wealth management, discretionary portfolio management, financial planning, and retirement plan advisory services. The firm’s investment approach combines fundamental and technical analysis to build portfolios focused on large-cap equities and high-grade fixed income, supplemented by mutual funds, ETFs, and customized option strategies.

Judith Vicks Sweet is a CFA® charterholder with four years of industry experience, currently serving at Strategic Financial Services in Utica, NY. She has been with the firm since 1988. Outside of her advisory role, she serves on the governing board of Lifetime Care Companies and participates in finance committees for several nonprofit organizations, including Save the River, ITOG, and the Episcopal Diocese of Central NY. Strategic Financial Services provides wealth management, institutional advisory, fiduciary retirement plan services, and financial planning to individuals, families, trusts, corporations, not-for-profits, and employer retirement plans. The firm employs model-based investment strategies combined with quantitative and fundamental analysis and supplements portfolio management with digital planning tools to support client financial plans.

Matthew Johnson is a Series 66-licensed financial advisor with Strategic Financial Services in Utica, NY, bringing two years of industry experience. He previously worked at Grove Point Investments, Cadaret Grant & Co., and several other financial and non-financial organizations. Strategic Financial Services provides wealth management, fiduciary retirement plan services, and institutional advisory to individuals, families, trusts, corporations, not-for-profits, and employer retirement plans. The firm employs a model-based investment approach combining quantitative factor analysis, fundamental research, and the use of sub-advisors, supported by advanced digital planning tools.