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.

Tory Klinedinst is a financial advisor with Great Valley Advisor Group, LLC, holding Series 66 and Series 63 licenses and bringing 20 years of industry experience. His prior roles include positions at Gaines Financial Group, Inc. (dba Balanced Investment Strategies), LPL Financial, Davis Wealth Management, and Wells Fargo Clearing. Great Valley Advisor Group is a multi-team SEC-registered investment adviser serving individuals, retirement plans, trusts, and other entities. The firm provides discretionary and non-discretionary investment management, financial planning, and retirement-plan consulting, utilizing a combination of in-house strategies and third-party managers.

George Arky is a CFP® with 37 years of industry experience, currently serving as a financial advisor at Concurrent Investment Advisors, LLC since 2025. He previously worked at Arky & Miller Financial Group, LLC and Cambridge Investment Research Advisors. Arky is a board member of the Ronald McDonald House of Durham and also leads wine tours in Durham, NC. Concurrent Investment Advisors, LLC is a multi-team advisory firm serving individuals, families, trusts, estates, businesses, and retirement plans. The firm offers wealth management, financial planning, and retirement advisory services through customized, primarily long-term portfolios that utilize ETFs, mutual funds, and other investment vehicles.

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.

Steven Colford is a financial advisor with First Citizens Asset Management, Inc., holding Series 65 and Series 63 licenses and bringing 21 years of industry experience. His prior roles include positions at Ascensus, LPL Financial, and Wake County Public Schools. He has been with First Citizens Asset Management since 2026. First Citizens Asset Management provides model-based sub-advisory and direct investment advisory services to a range of clients including individuals, trusts, municipalities, and institutions. The firm constructs global multi-asset class model portfolios using a combination of fundamental, quantitative, and technical analysis, with an emphasis on discretionary management and strategic asset allocation.

Kashif Osman is a Series 65 registered advisor with RFG Advisory, LLC, based in Cary, NC, with one year of industry experience. He has held previous roles at the Islamic Association of Raleigh and the North Carolina Democratic Party. Outside of his advisory work, he serves as a director for Samakash Limited, advising on the purchase and sale of commercial properties. RFG Advisory is a multi-team registered investment adviser with approximately 178 advisors managing about $8 billion for more than 17,000 clients. The firm offers portfolio management, financial planning, and retirement plan consulting services, employing a mix of actively managed and passive strategies with a focus on risk management and tax efficiency.

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.

Joseph Lucente is a financial advisor with Fifth Third Securities, Inc. in Cary, NC, holding Series 63 and Series 65 licenses and having four years of industry experience. His career includes roles at Fifth Third Securities and Fifth Third Bank since 2020, as well as prior experience at SunTrust Bank and Chipotle Mexican Grill. Fifth Third Securities serves a diverse client base including individuals, high-net-worth clients, and institutional entities through investment advisory and brokerage services. The firm offers multiple investment programs and third-party portfolio management options on its Passageway platform and operates as a wholly owned subsidiary of Fifth Third Bank.

Kenneth Bollinger is a CFP® with 30 years of industry experience, currently serving as a financial advisor at Wealth Enhancement Advisory Services, LLC since 2026. His prior roles include positions at Emerald Investment Partners, LLC, Niagara International Capital Limited, and Principal Financial Company. In addition to his advisory work, he is involved as a healthcare benefits insurance agent with Triangle Insurance & Benefits Insurance Agency. Wealth Enhancement Advisory Services provides financial planning, asset management, and retirement-plan consulting for individuals, high-net-worth clients, corporations, and retirement plans. The firm manages over $122 billion in assets through a large advisor network and employs a diversified investment process blending passive and active strategies supported by an internal Investment Committee.

Jennifer Ploehn is a financial advisor with Truist Advisory Services in Raleigh, NC, holding Series 63 and Series 66 designations and bringing 26 years of industry experience. She has been with Truist and its predecessor entities since 2008. Outside of her advisory work, she is involved as a distributor for weight loss and wellness supplements and as a consultant for fragrance products. Truist Advisory Services provides investment consulting and advisory services to individuals, corporate clients, retirement plan sponsors, and charitable organizations. The firm combines discretionary manager relationships with non-discretionary consulting and utilizes third-party platforms and AI-enabled tools to support investment decisions.

John Liddicoat is a CFP® with over 32 years of experience in the financial services industry. He has been with First Citizens Investor Services, Inc. since 2017 and previously worked at Saybrus Equity Services, Inc. and Saybrus Partners. Outside of his advisory work, he operates a personal farm where he grows hay and is developing a truffle business. First Citizens Investor Services, Inc. serves a diverse client base including individuals, pension plans, charitable organizations, and businesses, offering advisory and brokerage services with a focus on portfolio management, financial planning, and tax-aware strategies. The firm emphasizes IAR-led client assessments and a combination of fundamental, quantitative, and technical analysis to manage investments.

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.

Katie Peeden is a CFP® professional with 11 years of industry experience, currently affiliated with First Citizens Investor Services, Inc. in Raleigh, NC. Her career includes positions at Fidelity Personal and Workplace Advisors and Fidelity Brokerage Services LLC before joining First Citizens Bank and its investor services division in 2021. 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 businesses. The firm uses a client-focused process to assess financial needs and risk tolerance, employing a range of investment analyses to manage portfolios across various asset classes.

Vernon Russ is a financial advisor at First Citizens Investor Services, Inc. with nine years of industry experience. He holds Series 63, Series 65, and Series 66 licenses and has previously worked at firms including MML Investors Services, Mass Mutual Life Insurance Company, and New York Life Insurance Company. Outside of finance, he was involved with The Curious Kitchen from 2015 to 2019. First Citizens Investor Services, Inc. provides advisory and brokerage services to individuals, pension plans, charitable organizations, and corporate entities. The firm offers portfolio management, model portfolios, an automated investing platform, and tax-aware services, focusing on client assessments and a mix of fundamental, quantitative, and technical analysis for asset allocation.

Cody Wagner is an advisor with FIFTH THIRD SECURITIES, Inc. based in Raleigh, NC, holding Series 63 and Series 65 credentials. He has experience working at Fifth Third Securities since 2026 and has previous roles at Fifth Third Bank, Truist, and Wells Fargo dating back to 2016. FIFTH THIRD SECURITIES, Inc. serves a diverse client base including individuals, high-net-worth clients, and institutions through investment advisory and brokerage services. The firm offers multiple program types and third-party portfolio managers on its Passageway platform, combining advisor-guided strategies with advanced portfolio management techniques.

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.