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Johnnie C

Series 66

High Point, NC

LPL Enterprise

Johnnie Council is a financial advisor with LPL Enterprise and holds a Series 66 designation. He has one year of industry experience, previously working at Equitable Advisors and in education roles with Alamance-Burlington Schools, Guilford County Schools, and North Carolina A&T. Council also serves as a board member for the Christine Council Foundation, a nonprofit organization. LPL Enterprise provides investment advisory and brokerage services to a diverse client base, including individual and high-net-worth investors, retirement plans, and institutional entities. The firm uses model-driven investment strategies developed by internal and third-party portfolio strategists and offers access to various financial planning and consulting services.

Tax-loss harvesting
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Sherri B

Series 65, Series 66, Series 63

High Point, NC

Merrill

Sherri Brown is a financial advisor at Merrill with 16 years of industry experience. She holds Series 65, Series 66, and Series 63 licenses. Her prior work includes roles at Oppenheimer, Wells Fargo Clearing Services, and Citigroup Global Markets. Outside of her advisory work, she has served as a poll worker during the 2020 general election. Merrill, along 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 both model-based and discretionary investment strategies for a diverse client base, including 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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Warren L

Series 63, Series 66

High Point, NC

Edward Jones

Warren Lackey Sr. is a financial advisor with Edward Jones in High Point, NC, holding Series 63 and Series 66 licenses and over 27 years of industry experience. He has been with Edward D. Jones & Co., L.P. since 1998. Outside of his advisory role, he serves as a member of the finance committee at High Point Country Club and holds trustee and managerial roles in various local trusts, family LLCs, and real estate ventures. Edward Jones is a full-service wealth management firm serving a broad range of individual and institutional clients. The firm offers discretionary and non-discretionary investment strategies, separately managed accounts, and affiliated mutual funds, supported by a nationwide network of financial advisors and branch offices.

Retirement plans for business owners (SEP, solo 401k) Business ownership considerations Business succession planning General estate planning guidance Wealth management Founder/Business Owner Doctor or Medical Professional
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Duane E

CFP®, Series 63, Series 66

High Point, NC

Wells Fargo Clearing

Duane Edwards is a CFP®-certified financial advisor with 25 years of industry experience, currently with Wells Fargo Clearing since 2016. He previously worked at A. G. Edwards & Sons, Inc. from 2004 to 2008. Wells Fargo Advisors is a national securities firm serving individual, corporate, and institutional clients with investment advisory services, financial planning, and retirement plan consulting. The firm manages approximately $671 billion in assets and offers brokerage and advisory solutions supported by research from Wells Fargo Investment Institute.

Retired Founder/Business Owner
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Thomas L

Series 66

High Point, NC

Edward Jones

Thomas Lembeck is a financial advisor at Edward Jones in High Point, NC, holding a Series 66 designation with one year of industry experience. Prior to joining Edward Jones, he worked at Shepherd Financial Group and Numerica Credit Union. Edward Jones is a full-service wealth management firm serving individual and institutional clients with a range of advisory programs, including discretionary and non-discretionary wrap fee strategies and separately managed accounts. The firm manages approximately $1.01 trillion in assets under management and operates through a large network of financial advisors and branch offices nationwide.

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

Series 63, Series 65

High Point, NC

Cetera

Timothy Reid is a financial advisor with Cetera who holds Series 63 and Series 65 licenses and has 14 years of industry experience. He has held various roles within Cetera and Avantax firms since 2012 and operates his own tax preparation and accounting services through Reid Tax Service and Payne Tax Group, where he is a partner. Outside of his advisory work, he serves as treasurer of the Wallburg Recreational Center nonprofit and holds leadership positions with the High Point Civitan Club and Wallburg Baptist Church. Cetera Investment Advisers LLC is an SEC-registered firm offering a multi-manager platform that serves individual, retirement plan, corporate, charitable, and institutional clients. The firm provides discretionary and non-discretionary portfolio management, financial planning, and access to third-party money managers across diverse program structures and custodial relationships.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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James S

Series 66

High Point, NC

Edward Jones

James Squires is a financial advisor with Edward Jones in High Point, NC. He holds the Series 66 designation and has one year of industry experience. Prior to joining Edward Jones, he worked at Plank Road Solutions, LLC, Camco Manufacturing LLC, and Hanesbrands Inc. Edward Jones is a full-service wealth management firm serving individual and institutional clients, including various types of households, pension plans, corporate clients, and charitable organizations. The firm manages over $1 trillion in assets through a large network of financial advisors and offers a range of advisory programs and investment strategies.

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

Series 66

Asheboro, NC

Equitable Advisors

John Mcneely is a financial advisor at Equitable Advisors with 27 years of industry experience and holds the Series 66 designation. He has been with Equitable Advisors since 2001, including its prior affiliation as AXA Advisors. Outside of his advisory role, Mcneely is involved in community activities such as serving as a counselor for the Boy Scouts of America Randolph NC District, participating in his local First Presbyterian Church committee, volunteering with Community Bible Study, and acting as a tool reviewer for Stanley Black and Decker Inc. Equitable Advisors serves a broad 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 often implemented through third-party sponsors and provides ERISA fiduciary services to qualified plans through 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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Neil R

Series 63, Series 65

Asheboro, NC

LPL Financial

Neil Rabb is a financial advisor with LPL Financial in Asheboro, NC, holding Series 63 and Series 65 licenses and bringing 13 years of industry experience. Prior to joining LPL Financial in 2020, he worked at Nsllc and Nationwide. His other business activities include roles as a non-variable insurance agent and broker. LPL Financial is a national broker-dealer and SEC-registered investment adviser providing advisory and brokerage services to individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of financial planning and investment management solutions through a large network of advisors using both proprietary and third-party strategies.

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

Series 66

High Point, NC

Wells Fargo Clearing

Kia Streater is a financial advisor with Wells Fargo Clearing in High Point, NC, holding a Series 66 designation and 18 years of industry experience. She previously worked at Triad Financial Advisors, Inc. from 2009 to 2013 before joining Wells Fargo Clearing in 2016. Streater serves on the finance committee of The Foundation for a Healthy High Point, reviewing account balances for grant purposes. Wells Fargo Advisors is a national securities firm offering investment advisory services, financial planning, and retirement plan consulting to individual, corporate, and institutional clients. The firm manages roughly $671 billion in assets and provides both brokerage and advisory solutions, utilizing research from Wells Fargo Investment Institute alongside third-party data to support portfolio management.

Retired Founder/Business Owner
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Jeffery H

Series 66

Asheboro, NC

Edward Jones

Jeffery Hayes is a financial advisor at Edward Jones with Series 66 designation and one year of industry experience. His prior work history includes positions at Bank of America and North Carolina State Employees' Credit Union. Edward Jones is a full-service wealth management firm serving over four million individual and institutional clients. The firm offers a range of managed solutions, separately managed accounts, and affiliated mutual funds, supported by a large national network of advisors and branch offices.

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

Series 66

High Point, NC

LPL Financial

David Austin is a financial advisor at LPL Financial with seven years of industry experience. He holds the Series 66 designation and previously worked at Edward Jones and Signing Carolina Inc. Outside of advising, he has experience in retail management through a nearly two-decade tenure at The UPS Store. 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 financial planning and investment management solutions, utilizing various advisory platforms and technologies to support a broad network of more than 22,800 advisors.

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

Series 66

High Point, NC

LPL Financial

Randall Richard is a Series 66 credentialed financial advisor with 27 years of industry experience. He has worked at LPL Financial since 2019 and previously held positions at Lincoln Financial Securities Corporation, Osaic FS, Inc., and PRUCO Securities, LLC. Outside of his advisory work, he is involved in selling fixed annuities, long-term care insurance, disability insurance, and life insurance through ECA Marketing. LPL Financial is a national broker-dealer and SEC-registered investment adviser that provides advisory and brokerage services to individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of financial planning and investment management solutions through its extensive network of advisors.

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

ChFC®, Series 63, Series 66

High Point, NC

OSAIC

Jeffrey Barker is a financial advisor with Osaic Wealth, holding the ChFC® designation along with Series 63 and Series 66 licenses, and has 37 years of industry experience. He has worked at Osaic since 2024 and previously held roles at Securities America Advisors and Questar Capital Corporation, as well as operating Barker Financial Services since 1993. Outside of financial advising, he owns a photography business and is involved in selling sports memorabilia. Osaic Wealth serves a diverse client base including retail and institutional investors, offering brokerage and advisory services through a multi-advisor platform. The firm emphasizes model-based asset allocation and portfolio optimization, providing a range of investment and retirement solutions supported by a complex network of affiliates and proprietary strategies.

Annuities Private / alternative investments
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Richard S

Series 63, Series 65

High Point, NC

Raymond James Financial

Richard Sexton Jr. is a financial advisor with Raymond James Financial in High Point, NC, holding Series 63 and Series 65 licenses and bringing 26 years of industry experience. He has been with Raymond James and its affiliated entities since 2002 and serves as president of Sexton Companies Inc., where he oversees tax preparation and bookkeeping services. Raymond James Financial Services Advisors, Inc. offers financial planning, investment consulting, and advisory services to individual, high-net-worth, institutional, and nonprofit clients. The firm provides tailored, non-discretionary planning and supports municipal and public-finance work through a unique affiliation with a municipal advisor.

Wealth management Tax strategies for small businesses Business succession planning General estate planning guidance Founder/Business Owner Executive
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Kelly W

Series 65, Series 63

Asheboro, NC

LPL Financial

Kelly Wallace is a financial advisor with LPL Financial in Asheboro, NC. She holds Series 65 and Series 63 licenses and has experience working at First Horizon Bank from 2004 to the present, joining LPL Financial in 2025. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions. The firm offers a range of advisory and brokerage services, including financial planning, model portfolios, and institutional platforms, supported by a large network of advisors and advanced operational tools.

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

Series 66

High Point, NC

Edward Jones

Christopher Holbrook is a financial advisor with Edward Jones in High Point, NC, holding a Series 66 designation and 15 years of industry experience. He has been with Edward Jones since 2010. Outside of his advisory role, he manages and owns commercial rental properties in the High Point area. Edward Jones is a full-service wealth management firm serving individual and institutional clients with over $1 trillion in assets under management. The firm offers a range of advisory programs and investment solutions supported by a large network of financial advisors and branch offices nationwide.

Retirement income strategy Business ownership considerations Business exit / sale strategy Divorce financial planning Multi-generational wealth transfer Founder/Business Owner Intergenerational Families
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Tracy C

Series 66

High Point, NC

Raymond James Financial

Tracy Collins is a financial advisor with Raymond James Financial Services Advisors, Inc. located in High Point, NC, holding a Series 66 designation and bringing 16 years of industry experience. Prior to joining Raymond James, Collins worked at several firms including BB&T and Wells Fargo Clearing. Outside of advisory roles, Collins is involved with Pinnacle Asset Management in a licensed bank advisor capacity and supports clients through Pinnacle Financial Partners/Pinnacle Bank by integrating financial planning with banking strategies. Raymond James Financial Services Advisors, Inc. offers financial planning, investment consulting, and advisory services to a diverse client base that includes individuals, high-net-worth clients, pension plans, corporations, and institutional clients. The firm provides tailored, non-discretionary planning and consulting using analytical tools to align with client goals and supports municipal and public finance services through a unique affiliation with a municipal advisor.

Wealth management Tax strategies for small businesses Business succession planning General estate planning guidance Founder/Business Owner Executive
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John T

Series 66

High Point, NC

Edward Jones

John Thomas is a financial advisor with Edward Jones in High Point, NC, holding a Series 66 designation and six years of industry experience. He has been with Edward Jones since 2019 and previously worked at CipherHealth, Inc. and West Corporation (now Intrado). Edward Jones is a full-service wealth management firm serving over four million individual and institutional clients. The firm manages approximately $1.01 trillion in assets and offers a range of advisory services including discretionary and non-discretionary wrap fee strategies, separately managed accounts, and affiliated mutual funds, supported by a nationwide network of more than 23,700 financial advisors.

College savings (529s, UTMA, etc.) Retirement income strategy General retirement planning Wealth management General estate planning guidance Retired Founder/Business Owner Executive
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Cornelius G

Series 63, Series 65

Asheboro, NC

Raymond James Financial

Cornelius Griffin is a financial advisor with Raymond James Financial who holds Series 63 and Series 65 credentials and has 33 years of industry experience. He has been with Raymond James Financial since 2009 and with Raymond James Financial Services since 2003. Griffin is an owner of Advisors Financial Center and serves on the finance and investment committees of Central Methodist Church in Asheboro, NC. Raymond James Financial Services Advisors, Inc. provides financial planning, investment consulting, and advisory services to individual and high-net-worth clients, as well as pension plans, corporations, charitable organizations, and institutions. The firm offers tailored, non-discretionary planning and supports municipal and public-finance work through unique affiliations.

Wealth management Tax strategies for small businesses Business succession planning General estate planning guidance Founder/Business Owner Executive
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