James Batey is a financial advisor with Founders Financial Alliance, LLC in Raleigh, NC, holding Series 63 and Series 65 credentials and bringing 20 years of industry experience. His prior work includes 15 years at Valic Financial Advisors and four years at AGIA. He also works as an agent involved in non-securities insurance products. Founders Financial Alliance provides discretionary, fee-based investment management and financial planning services to individual and high-net-worth clients, charitable organizations, and corporate retirement plans. The firm’s evidence-based investment approach incorporates asset allocation, periodic rebalancing, and a mix of strategies tailored to client goals and risk tolerances.

Charles Upshaw III is a CFP® professional with 45 years of industry experience, currently serving at Capital Investment Advisory Services, LLC. He has been affiliated with Capital Investment Brokerage, Inc. since 1997. Outside of his advisory work, he is a long-standing member of the Rotary Club of Raleigh and serves as a trustee for the Hill-Pike House Trust. Capital Investment Advisory Services, LLC provides investment advisory and supervisory services to individuals, retirement plans, corporations, trusts, estates, and charitable organizations. The firm offers a range of services including separately managed accounts, referrals to third-party managers, private-label model portfolios, and financial planning, using an individualized process tailored to clients’ objectives and risk tolerance.

Troy Hill is a financial advisor with Capital Investment Advisory Services, LLC, holding a Series 66 designation and 27 years of industry experience. His prior work includes roles at Wells Fargo Advisors LLC and Wells Fargo Clearing. Outside of advisory services, he co-owns Sooner Ventures, LLC, a residential real estate leasing business managed by his spouse. Capital Investment Advisory Services, LLC provides investment advisory and supervisory services to individuals, retirement plans, corporations, trusts, estates, and charitable organizations. The firm offers personalized investment management through discretionary mandates, third-party managers, and private-label model portfolios, employing various analytical methods and regular portfolio reviews.

Samuel Knight is a financial advisor with Capital Investment Advisory Services, LLC in Raleigh, NC, holding Series 63 and Series 66 licenses and bringing 20 years of industry experience. His prior work includes roles at Wells Fargo Clearing Service, Wells Fargo Bank, Mass Mutual Investors Services, and Metlife Securities Inc. Capital Investment Advisory Services, LLC provides investment advisory and supervisory services to individuals, retirement plans, corporations, trusts, estates, and charitable organizations. The firm offers individualized investment management through discretionary mandates, third-party managers, and private-label model portfolios, employing a variety of analytical methods and conducting ongoing portfolio reviews.

Kemp Mebane is a financial advisor with Capital Investment Advisory Services, LLC, holding Series 66 and Series 63 designations and bringing 12 years of industry experience. He has previously worked at First Citizens Investor Services and Capital Investment Group, Inc. There are no additional notable outside activities reported. Capital Investment Advisory Services offers portfolio management and supervisory services to a diverse client base, including individuals, corporations, retirement plans, trusts, and charitable institutions. The firm provides customized investment solutions that incorporate fundamental and technical analysis, managing most assets on a discretionary basis.

Wanda Cooper is a financial advisor with Capital Investment Advisory Services, LLC, holding Series 63 and Series 65 licenses and bringing 32 years of industry experience. She has been with Capital Investment Group, Inc. since 1997. Outside of her advisory role, Cooper serves on the board of Camp Kerr Lake - Shiloh Family Ministry, where she teaches and supports family activities during the summer. Capital Investment Advisory Services, LLC provides investment advisory and supervisory services to individuals, retirement plans, corporations, trusts, estates, and charitable organizations. The firm offers customized investment management through discretionary mandates, third-party managers, and private-label model portfolios, with ongoing monitoring and quarterly reviews.

Kenyon Allman is a financial advisor with Level Four Advisory Services who holds Series 63 and Series 65 licenses and has 45 years of industry experience. His prior work includes roles at Mid-Atlantic Securities, Inc. and Raymond James & Associates. He serves as co-trustee for the Diane and Robert Allman Revocable Trusts and the R&D Family LP. Level Four Advisory Services is an SEC-registered enterprise investment adviser managing approximately $5.32 billion across 115 advisors and over 13,800 client relationships. The firm serves a diverse client base and offers fee-only financial planning, asset management, third-party manager referrals, and retirement plan advisory services.

Henry Stotz is a financial advisor with First Citizens Investor Services, Inc. in Raleigh, NC, holding Series 63 and Series 66 credentials and two years of industry experience. His prior work includes roles in automotive sales and financial services, and he volunteers with FINADDICTS LLC, a local fishing apparel brand. First Citizens Investor Services serves individuals, pension plans, charitable organizations, and corporate clients, offering advisory and brokerage services with a client process focused on assessing financial needs and using fundamental, quantitative, and technical analysis across various investment vehicles.

Michael Mordecai is a financial advisor at First Citizens Investor Services, Inc. in Raleigh, NC, holding a Series 66 designation with seven years of industry experience. His career includes three years at Edward Jones before joining First Citizens Investor Services in 2021. Mordecai also attended the University of North Carolina at Chapel Hill from 2013 to 2017. First Citizens Investor Services, Inc. provides advisory and brokerage services to individuals, pension and profit-sharing plans, charitable organizations, and corporate entities. The firm employs a client-centered process that uses fundamental, quantitative, and technical analysis to allocate investments across equities, fixed income, mutual funds, and ETFs.

Mark Weaver is a financial advisor with Commonwealth Financial Network in Raleigh, NC, holding the ChFC® and Series 63 designations and bringing 39 years of industry experience. He has worked at Crossbridge Financial Group, LLC and Ameriprise Financial Services, Inc. in prior roles. Outside of his advisory work, he is a 50% owner of WBDFC, LLC, an entity focused on managing commercial real estate. Commonwealth Financial Network serves a national network of approximately 2,950 advisors and their clients, offering a variety of advisory programs and support services. The firm provides operations, trading, technology, investment management, compliance, and practice-management resources, enabling advisors to construct client portfolios using a broad range of securities and insurance products.

Stephen Holloman is a financial advisor with Truist Advisory Services in Raleigh, NC, holding Series 63 and Series 66 credentials and bringing 28 years of industry experience. His career includes roles at Wells Fargo Clearing, Wells Fargo Advisors, Wachovia Bank, and BB&T Bank prior to joining Truist in 2021. Outside of his advisory work, he manages several residential rental properties in North Carolina. Truist Advisory Services provides investment consulting and advisory services to individuals, businesses, retirement plan sponsors, and charitable organizations. The firm offers asset allocation, investment policy analysis, fiduciary support, and a manager-selection program implemented through both discretionary and non-discretionary strategies, supported by AI-enabled research and a high degree of inter-affiliate integration.

William Smith is a financial advisor with First Citizens Investor Services, Inc. in Raleigh, NC, holding Series 63 and Series 66 licenses and bringing nine years of industry experience. His prior roles include positions at MML Investors Services LLC, MassMutual Life Insurance Co., First Citizens Bank, and Northwestern Mutual. First Citizens Investor Services, Inc. provides advisory and brokerage services to a diverse clientele including individuals, pension plans, charitable organizations, and businesses. The firm offers portfolio management, model portfolios, a Guided Investing platform, and financial planning, utilizing both fundamental and quantitative analyses to manage assets primarily through non-discretionary client arrangements.

Haley Mckenna is a financial advisor at First Citizens Investor Services, Inc. with 12 years of industry experience. She holds Series 63 and Series 66 designations and has worked at firms including Charles Schwab & Co., Inc. and SVB Wealth, LLC. Haley also serves as a Senior Compliance Analyst at First Citizens Asset Management, Inc. First Citizens Investor Services, Inc. provides advisory and brokerage services to individuals, pension plans, charitable organizations, and businesses, using a client-focused process that incorporates fundamental, quantitative, and technical analysis across various investment products.

Daniel Mccall is a CFP® with 21 years of industry experience, currently with Truist Advisory Services in Raleigh, NC. His prior roles include positions at BB&T and its affiliates from 2006 through the present, covering various investment and securities functions. Truist Advisory Services provides investment consulting and advisory services to individuals, businesses, retirement plan sponsors, and charitable organizations. The firm uses a combination of discretionary manager relationships and non-discretionary consulting, supported by third-party platforms and AI-enabled research tools to assist in manager selection and portfolio oversight.

Jane Watson is a CFP® professional with 15 years of experience in the financial services industry. She is currently with Truist Advisory Services and previously worked at Wachovia Securities, LLC. Watson holds a Series 63 license and is based in Raleigh, NC. Truist Advisory Services provides investment consulting and advisory services to a broad range of clients including individuals, corporate entities, retirement plan sponsors, and charitable organizations. The firm offers asset allocation, fiduciary support, and manager-selection programs, using a combination of discretionary and non-discretionary strategies supported by proprietary research and third-party platforms.

Amanda Cox is a financial advisor with First Citizens Investor Services, Inc. in Raleigh, NC, holding Series 65 and Series 63 licenses and bringing 10 years of industry experience. She has worked within First Citizens Bank and its investment services affiliate since 2007. First Citizens Investor Services, Inc. provides advisory and brokerage services to individuals, pension and profit-sharing plans, charitable organizations, and corporate entities. The firm employs a client process led by investment adviser representatives that includes financial needs assessment and diversified portfolio allocation using fundamental, quantitative, and technical analysis.

Virginia Lee is a financial advisor with First Citizens Investor Services, Inc. in Raleigh, NC, holding Series 63 and Series 65 credentials and 19 years of industry experience. She has been with First Citizens in various capacities since 2007. First Citizens Investor Services, Inc. provides advisory and brokerage services to individuals, including high-net-worth clients, pension and profit-sharing plans, charitable organizations, and corporate entities. The firm emphasizes IAR-led financial assessments and employs fundamental, quantitative, and technical analysis to manage portfolios across various asset classes.

Aagat Pandey is a financial advisor with First Citizens Investor Services, Inc. in Raleigh, NC, holding Series 63 and Series 66 licenses and possessing one year of industry experience. Prior to joining First Citizens in 2025, Pandey worked at Fidelity Investments and has held various roles outside the financial industry. First Citizens Investor Services, Inc. provides advisory and brokerage services to individuals, including high-net-worth clients, pension and profit-sharing plans, charitable organizations, and corporate entities. The firm emphasizes IAR-led assessments and uses fundamental, quantitative, and technical analysis to manage portfolios that include equities, fixed income, mutual funds, and ETFs.

Ana Fonseca is a financial advisor at Fifth Third Securities, Inc. based in Raleigh, NC, holding Series 63 and Series 65 licenses with 25 years of industry experience. Her prior roles include positions at Investment Distributors Inc, Protective Life Insurance Company, Concourse Financial Group, Raymond James, and Liberty Bank. Fifth Third Securities, Inc. offers brokerage and investment advisory services through its Passageway Managed Account Program to individuals, charitable organizations, corporate clients, and institutional investors. The firm combines its municipal-advisor registration with affiliation to Fifth Third Bank, providing access to various discretionary managed-account programs and features like direct indexing and tax-overlay services.

Steven Dinh is a financial advisor with Truist Advisory Services, holding Series 63 and Series 65 credentials and having eight years of industry experience. His prior roles include positions at Citizens Securities, Wells Fargo Clearing, and Wells Fargo Bank. He is based in Garner, NC. Truist Advisory Services offers investment consulting and advisory services to individuals, corporate clients, retirement plan sponsors, and charitable organizations. The firm uses a combination of discretionary manager relationships and non-discretionary consulting, supported by third-party platform arrangements and AI-enabled research tools.