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Jim Zien, CFP®
Private Wealth Advisor
2018 - Present: Created Trailhead Financial LLC, an independent Financial Planning and Investment Services company focusing on personalized financial advice and solutions across all areas of your financial life.
1987 - 2018: In 1987 I started work at IDS Financial services, the predecessor of Ameriprise Financial and American Express Financial Advisors as a Financial Planner and was promoted to a District manager in 1990 followed by a promotion to Vice President in 1995. I made the decision to return to private practice in 2003 as a Certified Financial Planner with Ameriprise Financial and remain in private practice today.
1983 – 1987: In 1983, I purchased an Options Principal Member Seat on the American Stock Exchange and started up my own firm, Zien Securities, Inc. As President and CEO, I had complete responsibility for managing all aspects of my company, including investing its capital, managing its assets and handling its liabilities.
1980 – 1983: I held responsible positions as Purchase and Sales Manager and Booth Head for the widely renowned and prestigious full-service brokerage house, A. G. Edwards & Sons, Inc., in its New York City office.
Areas of Focus:
- Retirement Planning Strategies
- Estate Planning Strategies
- Wealth Preservation Strategies
- Retirement Plan Distribution
Qualifications and Education:
- Bachelor of Arts, 1979 Business and English, St. Francis Xavier University Nova Scotia, Canada
- 2003 to present: CERTIFIED FINANCIAL PLANNER™ professional
- 20+-year resident of Suffield, CT
- Suffield Foundation for Excellent Schools (SFES) President 2006, 2007; Board Member from 2000 to 2011, Suffield, CT
- SFES is a 501c(3) non-profit organization which raises money through an annual auction, dinner and dance and distributes the funds as grants to teachers within the entire Suffield, CT school system to enhance the quality of education within the Community. Over this 15-year period $600,000 had been raised and distributed as grants to the teachers throughout the Suffield, CT public school system.
Interests and Personal:
- Marital Status: Married for 37 + yrs. Wife Cindy
- Children: Daughter, Katie: Moravian College, PA graduate 2014. Economics major. Financial Advisor for Trailhead Financial LLC
- Open Water Certified Scuba Diver
- Woodworking, Furniture Construction, Gardening, Fly Fishing, Orchard maintenance, etc.
Kate Zien, CLTC®
Kate started working in the financial planning industry right out of college in 2014. She joined her dad's practice and found she loves being able to help people in such an impactful way. Kate holds the Certified in Long-Term Care (CLTC) designation, her insurance license, and FINRA Series 7 and 66 securities registrations with Commonwealth Financial Network® as a registered advisor. She graduated magna cum laude from Moravian College in 2014 with a BA in economics with honors, achieving the honors status with her paper "Optimal Currency Areas: The Euro Zone Experience." She was a four-year varsity tennis player with the DIII program, leading as the captain during her junior and senior years.
Kate enjoys working with younger clients to help create a strong financial foundation on which to build during the very important accumulation years. Creating personalized plans centered on starting or growing a family, paying down student loans, planning for retirement and much more can help clients visualize what needs to be done to achieve their goals. We continue to monitor and track progress, updating goals as they are reached and working to sidestep unexpected roadblocks as they occur. Kate believes helping clients understand their investment options and retirement plans as well as establishing the habit of saving a little every month are the first steps to financial success.
Kate grew up in Suffield, CT, and now lives in Vernon, CT. Outside of work, Kate loves to travel, hike, camp, ski, and explore new places, especially when she gets to take her parent's yellow lab, Mack.
Dennis Gero has been in the financial planning industry for 25 years. He graduated from the University of Massachusetts with a BS in chemical engineering then spent 20 years working in the chemical industry. In 1993, he became a financial advisor. Dennis holds FINRA Series 7 and 66 securities registrations and insurance licenses.
He currently lives in Cummington, MA, with his wife, Linda.