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Alexander L

Series 65

Houston, TX

Hightower Advisors

Alexander Ling is a financial advisor with Hightower Advisors based in Houston, TX. He holds a Series 65 designation and has one year of industry experience. Prior to joining Hightower, he worked at The Menard Financial Group, LLC and Willis Johnson & Associates, and he operated Sandra Ling Designs for seven years. Hightower Advisors provides investment advisory and planning services to a broad range of individual and institutional clients. The firm’s approach emphasizes manager selection and multi-manager solutions, utilizing proprietary research and offering access to various investment vehicles including mutual funds, ETFs, and alternative investments.

Wealth management Retirement plans for business owners (SEP, solo 401k) Tax-loss harvesting Founder/Business Owner Executive
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Andrew B

Series 66

Houston, TX

Hightower Advisors

Andrew Bybee is a financial advisor with Hightower Advisors in Houston, TX, holding a Series 66 designation and three years of industry experience. His work history includes roles at Hightower Securities and Hightower Advisors since 2021, as well as positions in education and food service prior to that. Hightower Advisors provides investment advisory and planning services to a diverse client base, including individuals, institutions, and pooled investment vehicles. The firm’s approach emphasizes manager selection, multi-manager solutions, and the use of both affiliated and third-party managers, supported by proprietary research and operational strategies.

Wealth management Retirement plans for business owners (SEP, solo 401k) Tax-loss harvesting Founder/Business Owner Executive
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Jonathan C

Series 63, Series 65

Houston, TX

VOYA Financial Advisors, Inc.

Jonathan Cox is a financial advisor with VOYA Financial Advisors, Inc. in Houston, TX, holding Series 63 and Series 65 licenses and 18 years of industry experience. He has worked at VOYA Financial Advisors since 2014, with prior experience at Morgan Stanley and MSI Financial Services. He is also an independent insurance agent specializing in the sale of fixed insurance products. VOYA Financial Advisors, Inc. is an enterprise-scale advisory and broker-dealer affiliate offering financial planning, portfolio management, and retirement services to individuals, pension plans, charitable organizations, and corporate clients. The firm integrates in-house and third-party strategies and technology-enabled tools to manage accounts primarily on a non-discretionary basis while also providing some discretionary management options.

Tax-loss harvesting Retirement income strategy General retirement planning Business exit / sale strategy Founder/Business Owner Executive Retired Self-Employed Approaching retirement Retired
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Patrick D

Series 66

Houston, TX

Guardian Life

Patrick Dickson is a financial advisor with Guardian Life and holds a Series 66 designation. He has 26 years of industry experience, including prior roles at Ameriprise and Mass Mutual Investors Services. He is a co-owner of White Rhino Financial LLC and is involved with Rethink Wealth LLC, both operating under Guardian. Park Avenue® Wealth Management, a subsidiary of The Guardian Life Insurance Company of America, provides brokerage and advisory services to individuals, corporate and retirement plan sponsors, charitable organizations, and businesses. The firm combines advisor-led discretionary management with model-based strategies and offers access to proprietary and third-party investment solutions, as well as integrated lending options and a digital advisory platform.

Business exit / sale strategy Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Charitable giving & philanthropy Founder/Business Owner Executive Financial Professional Approaching retirement Established Professionals Mid-Career Professionals
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Geoffrey L

Series 63, Series 65

Houston, TX

Wealth Enhancement Advisory Services, LLC

Geoffrey Lanceley is a financial advisor with Wealth Enhancement Advisory Services, LLC, holding Series 63 and Series 65 credentials and bringing 30 years of industry experience. His career includes two decades at LPL Financial and a decade at Wealth Enhancement Brokerage Services and Wealth Enhancement Advisory Services. In addition to his advisory role, he is an oil and gas investor. 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 and employs a diversified investment process combining passive and active strategies overseen by an internal Investment Committee.

Active portfolio management Factor investing / smart beta Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Executive Founder/Business Owner Retired HENRY (High Earners, Not Rich Yet) Mid-Career Professionals Approaching retirement Baby Boomers (Born 1946-1964)
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Bradly B

CFP®, ChFC®, Series 66

Houston, TX

Wealth Enhancement Advisory Services, LLC

Bradly Baxter is a CFP® and ChFC® with 11 years of industry experience. He has been affiliated with Wealth Enhancement Advisory Services, LLC and its related entities since 2016, and previously worked with LPL Financial, LLC. 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 and employs a diversified, risk-class based investment approach that blends passive and active management overseen by an internal Investment Committee.

Active portfolio management Factor investing / smart beta Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Executive Founder/Business Owner Retired HENRY (High Earners, Not Rich Yet) Mid-Career Professionals Approaching retirement Baby Boomers (Born 1946-1964)
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Aurora B

CFP®, Series 63, Series 65

Houston, TX

Hightower Advisors

Aurora Barcenas is a CFP® professional with 16 years of industry experience, currently serving as a financial advisor at Hightower Advisors since 2022. Her prior experience includes roles at Investec Wealth Strategies, PartnersInWealth, Inc., and Morgan Stanley, spanning a total of nine years. Outside of her advisory work, she is involved with YogaOne Houston, where she contributes as a yoga instructor and studio partner. Hightower Advisors provides investment advisory and planning services to a diverse range of individual and institutional clients, offering discretionary and non-discretionary portfolio management, financial planning, and retirement plan consulting. The firm’s approach emphasizes manager selection and multi-manager solutions, utilizing both affiliated and third-party managers supported by proprietary research and comprehensive portfolio construction strategies.

Wealth management Retirement plans for business owners (SEP, solo 401k) Tax-loss harvesting Founder/Business Owner Executive
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Alfred M

Series 63, Series 66, Series 65

Missouri City, TX

First Command Advisory Services

Alfred Mayes is a financial advisor with First Command Advisory Services in Missouri City, TX, holding Series 63, 65, and 66 licenses and 17 years of industry experience. His prior roles include positions at Valic Financial Advisors, Merrill, and LPL Enterprise. He is also involved with Our Daily Bread, a nonprofit organization. First Command Advisory Services is an SEC-registered investment adviser that serves individuals, corporate, and charitable clients, with a focus on active-duty service members and their families. The firm provides financial planning and multiple wrap-fee asset management programs managed by a centralized Investment Management Team and Wealth Portfolio Managers.

Passive / index investing Active portfolio management Retirement income strategy Tax-loss harvesting ESG / Sustainable investing Self-Employed Young Professionals
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Ana P

Series 66

Houston, TX

VOYA Financial Advisors, Inc.

Ana Portillo is a financial advisor at VOYA Financial Advisors, Inc. with 19 years of industry experience. She holds a Series 66 designation and has been with VOYA and its affiliated entities since 2007. Outside of her advisory role, she is also an independent insurance agent specializing in fixed insurance products. VOYA Financial Advisors, Inc. is an enterprise-scale advisory and broker-dealer affiliate of Voya Financial that serves individuals, retirement plans, charitable organizations, and corporate clients. The firm offers financial planning, portfolio management, and various advisory services through a large network of investment adviser representatives, using a combination of in-house and external strategists and technology-enabled tools to implement client recommendations.

Tax-loss harvesting Retirement income strategy General retirement planning Business exit / sale strategy Founder/Business Owner Executive Retired Self-Employed Approaching retirement Retired
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Andrei P

Series 66

Houston, TX

&PARTNERS

Andrei Prada is a financial advisor at &PARTNERS based in Houston, TX, with 14 years of industry experience. He holds the Series 66 designation and has worked previously at Wells Fargo Clearing, Wells Fargo Bank NA, and Merrill. &PARTNERS serves a diverse range of individual and institutional clients, offering investment management, financial and tax planning, and consulting services. The firm employs a variety of analytical approaches and utilizes both proprietary and third-party strategies, providing advisory services through direct management or third-party managers.

Wealth management Equity compensation tax strategy Retirement income strategy Business exit / sale strategy Founder/Business Owner Executive Retired
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Duane H

CFP®, Series 63, Series 65

Houston, TX

Corient

Duane Hirsch is a financial advisor at Corient with 33 years of industry experience. He holds the CFP® designation along with Series 63 and Series 65 licenses. His prior experience includes roles at Purshe Kaplan Sterling Investments, CIPW Service Company, FSC Securities Corporation, and Stavis & Cohen Private Wealth. Outside of his advisory work, he owns a rental property management business in Charlotte, NC. Corient provides investment advisory and financial planning services to individuals, high-net-worth clients, trusts, pension plans, charitable organizations, and corporate entities. The firm uses a goals-based, team investment approach that integrates in-house strategies with third-party managers and employs risk management tools and alternative investment options where appropriate.

Wealth management Private / alternative investments Tax-loss harvesting Active portfolio management
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William N

CFP®, Series 66

Houston, TX

Principal Financial Services

William Newland is a CFP® with 10 years of experience at Principal Financial Services, where he has worked since 2016. He holds a Series 66 license and is based in Houston, TX. Outside of his advisory role, he teaches group fitness classes as a fitness instructor. Principal Securities provides brokerage and registered investment advisory services to a wide range of clients, including individual investors, retirement plans, trusts, charitable organizations, businesses, and active-duty military personnel. The firm offers direct advisory programs, financial planning, retirement plan consulting, and access to third-party money manager asset allocation and separately managed account solutions.

Retired Founder/Business Owner
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Donald R

Series 66

Houston, TX

Guardian Life

Donald Robertson is a financial advisor with Guardian Life holding a Series 66 designation and two years of industry experience. He has worked at Guardian Life and its subsidiary Park Avenue Securities since 2025, with prior experience at Edward Jones and Southern Glazer's Wine and Spirits LLC. Park Avenue Securities LLC, a subsidiary of The Guardian Life Insurance Company of America, provides brokerage and investment advisory services to individuals, corporate and retirement plan sponsors, charitable organizations, and businesses. The firm offers tailored client relationships through a combination of advisor-led discretionary management and model-based strategies, alongside access to insurance products and alternative investment platforms.

Business exit / sale strategy Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Charitable giving & philanthropy Founder/Business Owner Executive Financial Professional Approaching retirement Established Professionals Mid-Career Professionals
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Robert W

Series 63, Series 66

Houston, TX

VOYA Financial Advisors, Inc.

Robert Waddell Jr. is a financial advisor with VOYA Financial Advisors, Inc. in Houston, TX, holding Series 63 and Series 66 licenses and bringing 40 years of industry experience. He has been with VOYA Financial Advisors since 2014 and previously worked at Voya Financial Partners, LLC from 2003 to 2011. Outside of his advisory role, he operates as an independent insurance agent involved in the sales of fixed insurance products. VOYA Financial Advisors, Inc. provides financial planning, portfolio management, unified managed account and wrap programs, and retirement-plan advisory services to individuals, pension plans, charitable organizations, and corporations. The firm combines model portfolios, technology-driven tools, and both discretionary and non-discretionary management approaches to support client investment strategies.

Tax-loss harvesting Retirement income strategy General retirement planning Business exit / sale strategy Founder/Business Owner Executive Retired Self-Employed Approaching retirement Retired
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Louis K

Series 63, Series 66

Katy, TX

Empower Advisory Group

Louis Kelley is a financial advisor with Empower Advisory Group, holding Series 63 and Series 66 designations and 25 years of industry experience. His previous roles include positions at Raymond James and LPL Financial. Empower Advisory Group provides financial planning and investment management primarily to employer-sponsored retirement plan sponsors and their participants, utilizing an integrated model connected to Empower’s recordkeeping and administrative platforms. The firm emphasizes long-term portfolio returns and savings rates in its financial planning services and manages a large participant base relative to its advisor count.

General retirement planning Retirement income strategy Social Security optimization Debt management College savings (529s, UTMA, etc.)
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Kristi C

ChFC®, Series 63

Houston, TX

Eagle Strategies (NY Life)

Kristi Cain is a financial advisor with Eagle Strategies (NY Life) based in Houston, TX. She holds the ChFC® and Series 63 designations and has 18 years of industry experience. Her career includes roles at New York Life Insurance Co and NYLIFE Securities, LLC, where she has worked since 2009. Eagle Strategies serves a diverse client base, including individual investors, retirement plans, and institutional clients, offering financial planning, investment management, and advisory services. The firm emphasizes tailored recommendations and manages a substantial portion of its assets on a non-discretionary basis.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy General retirement planning Retirement income strategy Founder/Business Owner Executive
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Michael N

Series 63, Series 65, Series 66

Houston, TX

&PARTNERS

Michael Nobles is a financial advisor at &Partners with 31 years of industry experience. He holds Series 63, Series 65, and Series 66 licenses and previously worked at Wells Fargo Clearing for eight years before joining &Partners. &Partners serves a broad range of individual and institutional clients, offering investment management, financial and tax planning, retirement-plan consulting, and brokerage services. The firm employs a variety of analytic approaches and portfolio management options, including third-party managers, and operates under dual registration as both a registered investment adviser and a broker-dealer.

Wealth management Equity compensation tax strategy Retirement income strategy Business exit / sale strategy Founder/Business Owner Executive Retired
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Brandon H

Series 65

Houston, TX

Hightower Advisors

Brandon Hicks is a financial advisor at Hightower Advisors with a Series 65 designation. He joined the firm in 2024 and has prior work experience at Amazon and in the food service industry. Hightower Advisors provides investment advisory and planning services to a wide range of individual and institutional clients, utilizing a multi-manager investment approach that includes proprietary research and a variety of investment vehicles.

Wealth management Retirement plans for business owners (SEP, solo 401k) Tax-loss harvesting Founder/Business Owner Executive
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Francoise P

Series 66

Houston, TX

Citigroup Global Markets

Francoise Price is a Series 66-licensed financial advisor with 24 years of industry experience, currently practicing at Citigroup Global Markets in Houston, TX. She has been with Citigroup Global Markets since 2007. Citigroup Global Markets serves individual and institutional clients across various wealth segments, offering a range of investment advisory programs alongside execution and custody services. The firm employs multi-asset, multi-manager strategies and operates with significant institutional scale and unique market roles, including serving as a swap dealer and futures commission merchant.

Tax-loss harvesting ESG / Sustainable investing Executive Founder/Business Owner Attorney Consultant Technology Professional
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Robert P

CFP®, ChFC®, Series 66

Houston, TX

Allworth financial, L.P.

Robert Palmer is a CFP® and ChFC® with seven years of experience in the financial industry. He has worked with Allworth Financial since 2026 and previously held roles at Avidian Wealth Solutions, Fidelity Brokerage Services LLC, and several other firms. Palmer is based in Houston, TX. Allworth Financial serves a diverse client base including individuals, high-net-worth investors, pension plans, trusts, and charitable organizations. The firm offers comprehensive financial planning and portfolio management using a combination of quantitative and qualitative analysis, managing both discretionary and non-discretionary accounts across various asset classes.

Retirement income strategy Annuities ESG / Sustainable investing Active portfolio management Real estate investing Airline Pilot Retired Founder/Business Owner Christian Faith Based
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