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Christopher D

Series 63, Series 66

Mt Pleasant, SC

UBS Financial Services

Christopher Doherty is a financial advisor at UBS Financial Services with 29 years of industry experience. He holds Series 63 and Series 66 designations and has been with UBS since 2013. UBS Financial Services serves individual, corporate, and institutional clients through a combination of brokerage and investment advisory offerings. The firm integrates institutional trading capabilities with wealth management services, providing a range of solutions including fee-based financial planning, portfolio management, and capital markets services.

General retirement planning Cash flow / budgeting Equity compensation tax strategy Executive Founder/Business Owner Mid-Career Professionals Approaching retirement
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John P

Series 66

North Charleston, SC

Merrill

John Prickett is a financial advisor at Merrill with a Series 66 designation and one year of industry experience. His prior experience includes roles at Bank of America and service as an officer in the South Carolina National Guard. Merrill, together with its affiliate Managed Account Advisors LLC, provides managed account services to Bank of America fiduciary clients through the Select Portfolio Solutions Program, offering model-based and discretionary investment strategies for individuals, high-net-worth clients, and institutional investors.

Tax-loss harvesting Active portfolio management Wealth management
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Daniel D

Series 63, Series 65

Mount Pleasant, SC

Equitable Advisors

Daniel Dupuis is a financial advisor with Equitable Advisors in Mount Pleasant, SC, holding Series 63 and Series 65 licenses and having 23 years of industry experience. He has worked with Equitable Advisors and its predecessor, Axa Advisors, since 2002. Outside of his advisory role, he is involved in business networking groups and participates in managing commercial real estate ventures related to his financial advisory business. Equitable Advisors serves a diverse client base including individuals, pension plans, corporations, and charitable organizations, offering financial planning, retirement consulting, and asset management programs. The firm employs a range of advisory models implemented through third-party and proprietary programs and provides ERISA fiduciary services to qualified plans via credentialed representatives.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Concentrated stock management Equity Recipients (RS/RSU, SOP, ESPP) Long-term care insurance Founder/Business Owner Retired Executive Approaching retirement Sandwich Generation
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William W

Series 66

Summerville, SC

Edward Jones

William Williams III is a financial advisor at Edward Jones in Summerville, SC, holding a Series 66 designation with 13 years of industry experience, all with Edward Jones since 2013. Edward Jones is a full-service wealth management firm serving over four million individual and institutional clients. The firm offers a range of advisory solutions including discretionary and non-discretionary wrap fee strategies, separately managed accounts, and affiliated mutual funds, with approximately $1.01 trillion in assets under management supported by a network of more than 23,000 financial advisors and over 15,000 branch offices nationwide.

Wealth management Tax-loss harvesting Multi-generational wealth transfer Retired Founder/Business Owner Executive
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Shawn G

Series 66

Summerville, SC

J.P. Morgan Securities

Shawn Gaffin is a financial advisor with J.P. Morgan Securities, holding a Series 66 designation and 20 years of industry experience. His career includes roles at Merrill and First Citizens Investor Services before joining J.P. Morgan in 2020. He was also involved with A&S Express, Inc. from 2020 to 2023. J.P. Morgan Securities provides institutional consulting services to plan sponsors, corporations, endowments, and other institutional clients, focusing on written asset allocation advice, investment manager and fund searches, and customized performance reporting. Their advisory process combines quantitative and qualitative research with a forward-looking approach to build model asset allocations, supporting investment decisions while clients retain final authority.

Founder/Business Owner
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Gray C

Series 63, Series 65

Charleston, SC

Robert Baird & Co.

Gray Coulton is a financial advisor with Robert W. Baird & Co. in Charleston, SC, holding Series 63 and Series 65 designations and possessing 20 years of industry experience. He has been with Robert W. Baird since 2011. The DDK Group, where he works, is part of Baird’s Private Wealth Management practice and serves individuals, families, pensions, corporations, and institutional clients. The team offers tailored financial planning and portfolio management services, utilizing a range of in-house and third-party strategies across traditional and non-traditional asset classes.

Wealth management Tax-loss harvesting Retired Founder/Business Owner
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Matthew M

Series 66

Mount Pleasant, SC

Merrill

Matthew Moeller is a financial advisor at Merrill with 15 years of industry experience. He holds the Series 66 designation and has previously worked at UBS Financial Services, Northwestern Mutual, and Wells Fargo Asset Management. Merrill, together with its affiliate Managed Account Advisors LLC, provides managed account services to Bank of America fiduciary clients through the Select Portfolio Solutions Program. The firm offers model-based and discretionary investment strategies for individuals, high-net-worth clients, pension plans, corporations, and charitable organizations.

Tax-loss harvesting Active portfolio management Wealth management
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Joshua W

Series 66

Charleston, SC

OSAIC

Joshua Wright is a financial advisor at OSAIC with 15 years of industry experience. He holds the Series 66 designation and has worked at OSAIC since 2016. Prior to that, he was employed at Bank of America and Merrill, gaining experience at both firms. Outside of his advisory role, Wright holds a real estate license and acts as a realtor, assisting friends with buying and selling primary residences. OSAIC Wealth serves a diverse client base, including individual investors, retirement plan sponsors, charities, and corporate clients, offering a range of brokerage and advisory services. The firm emphasizes model-based asset allocation and portfolio optimization, supported by various management strategies and third-party platforms.

Annuities Private / alternative investments
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Kenneth P

Series 63, Series 66

Daniel Island, SC

LPL Financial

Kenneth Pugno is a financial advisor with LPL Financial, holding Series 63 and Series 66 credentials and 39 years of industry experience. He previously worked at UBS Financial Services for 12 years and Morgan Stanley for one year. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of advisory and brokerage services, including financial planning and third-party asset management, supported by extensive technology tools and a broad suite of non-advisory financial products.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Jeffry C

ChFC®, Series 63, Series 65

Mount Pleasant, SC

OSAIC

Jeffry Carman is a financial advisor with OSAIC, holding the ChFC® designation along with Series 63 and Series 65 licenses. He has 40 years of industry experience, including roles at Sagepoint Financial, Inc. and AIG American General Life Insurance Company. Carman also operates a sole proprietorship focused on life insurance evaluation and recommendations. OSAIC Wealth serves a diverse range of clients, including individual investors, retirement plan sponsors, charities, and corporate clients. The firm offers brokerage and advisory services through a multi-advisor platform with an investment process centered on model-based asset allocation and portfolio optimization.

Annuities Private / alternative investments
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Emma B

Series 66

Mount Pleasant, SC

Fidelity

Emma Bieling is a Planning Consultant at the Mount Pleasant Investor Center, where she collaborates with clients to provide education and support throughout their financial journeys. In her role, she focuses on helping individuals develop confidence in their financial goals by fostering long-term relationships built on trust, connection, and collaboration. Emma's professional experience includes her current position as Planning Consultant at Fidelity Investments since 2024. Prior to this, she worked at Fidelity Investments in several roles, including Planning and Advice Help Desk from 2023 to 2024 and Investment Solutions Representative from 2021 to 2023. She also served as a Financial Advisor at UBS Financial Services in 2021. Outside of her professional work, Emma enjoys spending time at the beach, staying active through fitness and Pilates, engaging in social events with friends, caring for pets, and traveling.

General retirement planning Income planning Wealth management Cash flow / budgeting
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Jennifer S

Series 66

Summerville, SC

Edward Jones

Jennifer Simpson is a financial advisor with Edward Jones in Summerville, SC, holding a Series 66 license. She joined Edward Jones in 2026 and has prior experience working with the Charleston Baptist Association and Kew Baptist Church, as well as in the construction industry at Structures Building Company. Edward Jones is a full-service wealth management firm serving individual and institutional clients, including both non-high-net-worth and high-net-worth households, pension plans, corporate clients, and charitable organizations. The firm offers a range of advisory programs and investment strategies, managing approximately $1.01 trillion in assets through a nationwide network of advisors and branch offices.

Wealth management Tax-loss harvesting Multi-generational wealth transfer Retired Founder/Business Owner Executive
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Brian R

Series 66

Mt. Pleasant, SC

LPL Enterprise

Brian Reese is a financial advisor at LPL Enterprise with two years of industry experience. He holds the Series 66 designation and has previously worked at The Prudential Insurance Company of America and Pruco Securities LLC. Outside of his advisory role, he is involved in outside employment with Bottles LLC as a Wine Associate and works as a dog walker and tax preparer in the Charleston area. LPL Enterprise serves a diverse client base including individual and high-net-worth investors, retirement plans, banks, and corporate and charitable entities. The firm employs a model-driven investment approach using portfolios developed by internal research and third-party strategists, and provides financial planning, consulting, and access to third-party asset managers.

Tax-loss harvesting
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Gabriel B

CFP®, Series 63, Series 65, Series 66

Charleston, SC

LPL Financial

Gabriel Brogden is a CFP® with 25 years of industry experience, currently affiliated with LPL Financial. His prior roles include positions at South Carolina Federal Credit Union, Cuso Financial Services, LP, and BB&T Investment Services. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of advisory and brokerage services, including financial planning, model portfolios, third-party asset management access, and institutional platforms.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Penn S

Series 66

Mount Pleasant, SC

Merrill

Penn Saad is a Financial Advisor with Merrill Lynch Wealth Management. He is part of an 11-person wealth management team that partners with Merrill and Bank of America specialists, providing clients with tailored services similar to those offered by a Family Office. Penn works alongside his father, who has decades of experience in building long-term client relationships, to deliver guidance throughout clients' retirement journeys. Before joining Merrill Lynch, Penn spent 15 years as a golf professional, developing a passion for relationship-building and helping others achieve their goals. He holds the Chartered Retirement Planning Counselor (CRPC) and Personal Investment Advisor (PIA) designations, and earned a degree in Business Management from Clemson University. Penn's client focus areas include family wealth management strategies, tax minimization, and retirement income. Penn is involved with the First Tee of Greater Charleston and participates in the YAC First Tee of Greater Charleston organization. His personal interests include adventure sports, fishing, football, golfing, hunting, ice hockey, music, skiing, spending time with family, and traveling.

Wealth management Retirement income strategy General retirement planning General tax planning Financial Professional Founder/Business Owner
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Joseph M

Series 63, Series 66

Charleston, SC

Robert Baird & Co.

Joseph Mcauley Jr. is a financial advisor at Robert W. Baird & Co. in Charleston, SC, with 28 years of industry experience. He holds the Series 63 and Series 66 designations and has been with Robert W. Baird & Co. since 2014. He is part of The DDK Group within Robert W. Baird & Co.’s Private Wealth Management practice, which advises a broad range of clients including individuals, families, pensions, corporations, and charitable organizations. The group provides customized investment advice and portfolio management services utilizing both in-house and third-party managers, offering a variety of strategies from traditional allocations to more complex approaches.

Wealth management Tax-loss harvesting Retired Founder/Business Owner
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Elizabeth K

Series 66, Series 63

Mount Pleasant, SC

Merrill

Elizabeth Kramer is a financial advisor with Merrill, holding Series 66 and Series 63 licenses and 14 years of industry experience. Her prior roles include positions at FNB Corporation, Essey Consulting Group, and WebsterRogers LLP. She is an officer of Essey Consulting LLC, a general consulting and research firm. Merrill, together with its affiliate Managed Account Advisors LLC, provides managed account services through the Select Portfolio Solutions Program, serving individuals, high-net-worth clients, pension and profit-sharing plans, corporations, and charitable organizations with both model-based and discretionary investment strategies.

Tax-loss harvesting Active portfolio management Wealth management
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Andrew S

Series 66

Charleston, SC

Wells Fargo Clearing

Andrew Smith is a financial advisor with Wells Fargo Clearing, holding a Series 66 designation and 27 years of industry experience. He has worked at Wells Fargo Clearing since 2016 and previously spent four years with UBS Financial Services. Outside of his advisory role, he is an officer of Devine Design, a non-investment-related business based in Kiawah Island, SC. Wells Fargo Advisors is a national securities firm offering investment advisory, financial planning, and retirement plan consulting services to individual, corporate, and institutional clients. The firm operates on a large scale with over 14,000 advisors and approximately $671 billion in assets under management, providing both brokerage and advisory solutions.

Retired Founder/Business Owner
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Matthew B

Series 66

Charleston, SC

Merrill

Matthew Bride is a financial advisor with Merrill in Charleston, SC, holding a Series 66 designation and 11 years of industry experience. He has been with Merrill and Bank of America, N.A. since 2014. Merrill, together with its affiliate Managed Account Advisors LLC, provides managed account services to Bank of America fiduciary clients through the Select Portfolio Solutions Program. The firm offers model-based and discretionary investment strategies for individuals, high-net-worth clients, pension and profit-sharing plans, corporations, and charitable organizations.

Tax-loss harvesting Active portfolio management Wealth management
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Catherine L

CFP®, Series 63

Charleston, SC

OSAIC

Catherine Latto is a CFP® professional with over 41 years of experience in the financial industry. She is currently with OSAIC and has worked previously at Signator Investors, Inc. and her own firm, Latto & Associates Inc, where she remains president and owner. In addition to her advisory role, she is involved in selling fixed insurance through Latto & Associates. OSAIC serves a diverse client base including retail investors, retirement plans, charities, and corporate clients, offering a multi-advisor platform with brokerage and advisory services. The firm emphasizes model-based asset allocation and portfolio optimization supported by technology and offers a wide range of investment programs and third-party manager options.

Annuities Private / alternative investments
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