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Best Financial Advisors in Santa Ana

2024

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SmartAdvisor by SmartAsset logo
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SmartAdvisor by SmartAsset

Santa Ana, CA
  • Estate Planning
  • Retirement Planning
  • Financial Planning
  • Investment Management

Why choose this provider?

SmartAsset's free, five-minute tool makes it easy to find qualified financial advisors in your area. The exclusive tool uses a quick survey to help SmartAsset's exclusive algorithm match you with up to three advisors based on your specific financial needs. Each advisor is a fiduciary, legally bound to work in your best interest, and rigorously vetted by SmartAsset. You can speak with each for free, sometimes within a matter of minutes, and choose whom you want to work with. Hundreds of thousands of smart investors and retirees have already used SmartAsset's simple, no-cost service to find the right financial advisors for them.

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
4.0

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
3.8
Responsiveness
Friendliness
Helpfulness
Detail
––

Price: Free Consultation

Santa Ana, CA

Why choose this provider?

Need help contacting a Financial Advisor in Santa Ana? Call our Concierge team at 848-Book-Pro (848-266-5776 from 6 am - 4 pm PT | Mon - Fri). They are standing by to help you get the service you need.

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Price: Free booking service | Call 848.Book.Pro!

Website
Orange, CA 92868

Why choose this provider?

Crossroads Planning is a California-based investment advisory firm. Tony Chan, CFP®, EA has more than ten years of experience in the financial planning and tax strategy industries. Crossroads specializes in tax management and comprehensive financial planning for a variety of clients. The company genuinely believes in the strength financial security has on individuals and families. Tony's educational background has given him the ability to work with clients of all different financial backgrounds to improve their chances of financial freedom in the future.

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
5.0
Yelp
5.0 / 5 (168)

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
333 South Anita Drive, Orange, CA 92868
  • Certified Financial Planner (CFP)
  • Retirement Planning

Why choose this provider?

Orange Capital Management provides financial planning services to Santa Ana and the surrounding areas. It offers retirement income planning services to help individuals protect their savings, maintain their lifestyle, and secure their retirement funds. It also helps in designing plans and strategies that are suitable for clients' financial goals and needs. Orange Capital Management is an independent firm that was co-founded in 1990 by Gaston G. Escudero, a Certified Wealth Strategist and a board member of the First Financial Planners, Inc.

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
3.8
Responsiveness
Friendliness
Helpfulness
Detail
––

Website
942 East Chapman Avenue, Orange, CA 92866
  • Certified Financial Planner (CFP)

Why choose this provider?

Pacific Investment Research is a financial advisory and wealth management firm serving clients in Santa Ana and the neighboring communities. The firm specializes in assisting couples and individuals over the age of 54 with retirement planning, investment management, and retirement income planning. It also provides tax preparation, estate planning, and insurance planning services to its clients. With over 25 years of expertise, founder Richard Schultz serves as a CFA professional and a member of The National Association of Personal Financial Advisors.

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
5.0
Google
5.0 / 5 (1)

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
1432 Edinger Avenue, Tustin, CA 92780
  • Certified Financial Planner (CFP)
  • Tax Planning

Why choose this provider?

Financial Advisors Network, Inc., is a wealth advisory company that serves clients in Santa Ana and its surrounding areas. It offers a broad range of wealth and financial management services, including financial and retirement planning, investment management, and tax planning. Rod Kamps, the firm's president, established the company in 1999 after serving as a senior financial consultant for the California Federal Bank. Financial Advisors Network also provides estate and insurance planning services to its clients. 

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
5.0
Facebook
5.0 / 5 (5)
Yelp
5.0 / 5 (2)

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
600 North Tustin Avenue, Santa Ana, CA 92705
  • Retirement Planning
  • Insurance Products

Why choose this provider?

Heritage Planning Financial Group Inc. provides services to individuals and businesses in Santa Ana and the surrounding metros. The financial firm develops strategies and processes that are specific to the needs and objectives of its clients. It offers an array of services, including comprehensive financial planning, insurance, asset management, taxes, and property and business ownership. The founders, Paul Brown and Bruce Boyd, have a combined experience of more than 50 years in the financial services field.

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
5.0

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
940 South Coast Drive Suite 255, Costa Mesa, CA 92626
  • Certified Financial Planner (CFP)

Why choose this provider?

Stevens & Ault Financial Services helps people in and around Santa Ana plan for their future. It provides financial programs and strategies to individuals who are investing to build wealth, preserve their assets, and protect their families from future calamities. It also helps clients explore their options when it comes to insurance, pension and profit-sharing, retirement, and estate and tax planning. Its website contains a glossary of financial concepts, tax resources, a portfolio risk analysis tool, and various financial calculators.

License Verified:

License: 1618589

Investment Adviser Public Disclosure Database, SEC

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
2224 East Santa Clara Avenue, Santa Ana, CA 92705
  • Estate Planning

Why choose this provider?

Pinnacle Strategies Insurance and Financial Services is an independent company that has been serving individuals and business owners in Santa Ana since 2005. It offers customized services to clients looking to prepare for retirement. It also educates them on the different kinds of insurance policies and investment principles and strategies. One of the company's advisors, Blake Rose, is a Certified Financial Planner who has been active in the industry for more than two decades.

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
17822 17th Street, Tustin, CA 92780
  • Certified Financial Planner (CFP)

Why choose this provider?

Warren Street is a registered investment advisory firm that assists in improving the financial future of Santa Ana clients. The firm utilizes modern investment portfolio theory and advanced financial planning strategies to improve upon its clients’ financial plans. Its system also allows clients to connect their financial plan with their mortgage, IRA, and 401(k) accounts. Client portfolios are personalized according to their current situation and financial objectives. Warren Street also has a smartphone application, Warren Street App, that assists clients in monitoring their investments.

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
5.0
Yelp
5.0 / 5 (15)

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
4.5
Responsiveness
Friendliness
Helpfulness
Detail

Website
500 North State College Boulevard, Orange, CA 92868
  • Estate Planning
  • Insurance Products

Why choose this provider?

Martin Shapiro is a financial advisor who works with educators, business owners, and professionals in Santa Ana and the surrounding areas. His firm, Martin Shapiro Financial Services, has been providing retirement planning for over 36 years. Shapiro and his team help clients with estate planning, tax planning, financial planning, and business succession planning. Shapiro has over three decades of experience and earned his Certified Financial Planner designation in 1992. He also obtained professional designations as a Chartered Life Underwriter and Chartered Financial Consultant.

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
900 East Katella Avenue, Orange, CA 92867
  • Certified Financial Planner (CFP)

Why choose this provider?

Ober Financial is a financial advisory and wealth management firm serving Santa Ana and the surrounding areas. It helps families achieve financial success by combining savings and investment into one overall plan. The team consists of CPA and EA professionals who assist clients in maximizing savings by preparing tax returns and analyzing their tax situations. Caren Ober, the firm's founder, is a CPA who has been providing financial solutions to clients for over 30 years.

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
4.0
Yelp
4.0 / 5 (10)

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
3200 Park Center Drive, Costa Mesa, CA 92626
  • Certified Financial Planner (CFP)

Why choose this provider?

Established in 2010, Modern Wealth Advisors serves clients in Santa Ana and its surrounding areas. Founder Christine Tang has over 15 years of experience in the financial services industry. She and her team offer insurance, asset management, financial, and retirement planning. They also offer risk management, estate, tax, and small business planning. Christine has also received her bachelor’s degree from the University of Southern California, where she majored in Finance and minored in Sociology.

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
333 City Boulevard West, Orange, CA 92868
  • Estate Planning
  • Certified Financial Planner (CFP)
  • Retirement Planning
  • Insurance Products
  • Tax Planning

Why choose this provider?

Secura Financial Planning & Wealth Management provides services for clients in Santa Ana and its neighboring areas. The firm assists clients in the management of various facets of their finances, including their investments, insurance policies, retirement plans, and college plans. It also offers portfolio management, estate planning, tax planning, and cash flow management services. Harry M. Barth, managing partner, has been in the financial services industry for over four decades. Barth also co-authored a book about financial planning for high-income clients.

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
5.0

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
3.3
Responsiveness
Friendliness
Helpfulness
Detail
––

Website
201 E Sandpointe, Suite 460, South Coast Metro, CA 92707
  • Certified Financial Planner (CFP)
  • Retirement Planning
  • Tax Planning

Why choose this provider?

Golden State provides financial planning solutions to individuals in the Santa Ana metro. It offers wealth management strategies and asset management services. Its team of advisors uses a turnkey asset management program to optimize client investments. The company provides customers with insurance and mortgage strategies. The Golden State family of companies is composed of Golden State Asset Management, Golden State Equity Partners, and Golden State Wealth Management. Daniel Catone, the company's CEO, began working as a wealth manager in 2001.

License Verified:

License: 167995

Investment Adviser Public Disclosure Database, SEC

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
4.0
Google
4.0 / 5 (4)

Website
575 Anton Boulevard, Costa Mesa, CA 92626
  • Certified Financial Planner (CFP)

Why choose this provider?

Check Capital Management Incorporated is an investment advisory firm serving the Santa Ana metro. It supports clients in reaching their financial objectives by educating them on an investment strategy that entails buying and selling stocks from mature companies. In addition, it has adopted a stock-investing strategy that includes keeping money on hand to address clients' short-term requirements and holding stocks and their greater returns. Check Capital Management has been helping individuals and institutional investors in protecting their assets since 1987.

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
4.0
Google
4.0 / 5 (6)

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
151 Yorba Street, Tustin, CA 92780
  • Estate Planning
  • Retirement Planning
  • Tax Planning
  • Business Formation

Why choose this provider?

Intentional Wealth Management provides financial advisory services to clients in Santa Ana and the surrounding areas. It specializes in helping business owners and young professionals who are seeking advice to manage their finances during life transitions, such as marriage, buying homes, and paying loans. It also focuses on offering tax strategies, business planning, employer-sponsored benefits, investment management, and fiduciary services. The company was founded by Bradley Shammas, a graduate of business and economics degree with over 10 years of financial planning experience.

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
5.0

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
1551 North Tustin Avenue, Santa Ana, CA 92705
  • Certified Financial Planner (CFP)
  • Retirement Planning

Why choose this provider?

Wells Fargo helps clients in Santa Ana with their financial goals. It provides retirement planning services to help individuals maintain their lifestyles and protect their wealth. It also guides clients in managing their investments, college funds, savings, and company stocks. In addition, Wells Fargo caters to business owners wanting to create employee benefit plans and apply for life insurance products. Its managing principal, Jon M. Leedom, has been in the financial planning industry for more than 20 years.

Reputation:

We scour the internet for reviews from well-known resources. Each provider is evaluated based on the quality and quantity of their reviews, their presence on multiple review sites, and their average minimum rating.
4.2
Google
4.2 / 5 (11)

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
400 North Tustin Avenue, Santa Ana, CA 92705
  • Certified Financial Planner (CFP)
  • Insurance Products

Why choose this provider?

Serving the Santa Ana area, Insight Financial Advisors specializes in helping executives, business owners, and individual investors reach their financial goals. It provides a personalized financial plan to each of its clients, which takes into account their goals, specific concerns, and risk tolerance. The company also offers assistance to matters on 401(k) plans and life insurance products. John Calmes, an investment advisor with Insight Financial Advisors, joined the company in 2000 and is a Certified Financial Planner.

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Website
2224 East Santa Clara Avenue, Santa Ana, CA 92705
  • Estate Planning
  • Insurance Products

Why choose this provider?

Pinnacle Group Financial Services caters to clients in Santa Ana and the surrounding areas. It offers several financial strategies to help individuals with their goals. These strategies include traditional IRA, profit sharing, brokerage solutions, medicare supplements, and college savings plans. It also develops estate and legal strategies by providing term, whole, single premium, and universal life insurance services. One of its financial consultants, Ronald J. Burkard, has more than 20 years of experience in the industry.

Professionalism:

We hire mystery shoppers to call our providers anonymously and evaluate them. Providers who respond quickly, answer questions thoroughly, and communicate politely score higher.
5.0
Responsiveness
Friendliness
Helpfulness
Detail

Frequently Asked Questions

  • Introduction

    There are many titles for financial professionals, so it's challenging to track what each one means. A financial advisor is probably the term you've heard most often. Financial advisor is a broad term for a professional who helps individuals or companies manage their finances, including investment choices. There are over 100 certifications that financial advisors can obtain.

    • Financial planners, wealth managers, and investment advisors are all financial advisors with different focus areas.
    • A financial planner helps an individual or a company make a plan to achieve long-term financial goals.
    • A wealth manager helps individuals maintain their wealth through various disciplines and services, such as taxes, estate planning, and investment advice.
    • An investment advisor offers investment advice and recommendations to individuals or organizations.
    There’s a misconception that you have to be extremely wealthy to use a financial advisor. In reality, they can be beneficial for people from any income level. Keep reading to find answers to the most commonly asked questions about financial advisors, so you know which type can fit your specific needs.

  • Do financial advisors work with people with fluctuating incomes like entertainers and athletes in Santa Ana?

    Financial advisors work with people with fluctuating incomes like entertainers and athletes. In fact, having a financial advisor would benefit Santa Ana residents with inconsistent earnings or those with limited time to earn money by helping them develop financial plans. These can accommodate fluctuations during low-income periods and maximize income influxes. Doing so will also help make their wealth last in case the client’s career ends due to aging or an injury.

  • What questions should you ask a financial advisor before letting them handle your investments in Santa Ana?

    First, determine the services you want and the type of advisor you can get along with as you will be working with them long-term. Questions you could ask the Santa Ana financial advisor include the following: - What are your credentials and licenses? - Any disciplinary actions filed with FINRA? - Will you be compensated by fee or commission-based? - What is your investment philosophy? - How do you evaluate risk tolerance and financial goals? - What kind of monitoring and reports will you provide?

  • How are financial advisors paid in Santa Ana?

    Financial advisors work on various payment models or a combination of multiple models. According to 2023 data from the SEC, 96% of advisors are paid a percentage of the client’s portfolio under their management, while 49% are paid fixed fees. Only 3% work on commission and 33% of SEC-registered advisors charge hourly fees. You can negotiate a hybrid payment structure with your Santa Ana financial advisor, including a subscription arrangement if you only need periodical service.

  • What does it mean if a Santa Ana financial advisor is “fee-based?”

    Generally, fee-based means the Santa Ana financial advisor's payment structure is a hybrid of commission and fee. The financial advisor will charge an hourly fee and collect a commission from the investments under their management. This is unlike a “fee-only” financial advisor who charges a flat fee regardless of the amount of assets to be managed.

  • How do you know if a financial advisor operates as a fiduciary in Santa Ana?

    To find out if your Santa Ana financial advisor operates on a fiduciary standard, see if they are registered with the Financial Industry Regulatory Authority or the Securities and Exchange Commission. Financial advisors who have the credential Certified Financial Planner or CFP attached to their name are also fiduciaries. Not only are fiduciaries required to prioritize your best interests, but they are also obligated to inform you if working together will have a conflict of interest.

  • Are financial advisors worth it?

    Whether or not a financial advisor is worth it depends on your personal situation. If your finances are fairly straightforward, then you may be better off handling it on your own. But if you have substantial assets or a complex investment portfolio, then hiring someone to handle it for you can be well worth the cost.