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Qualifications of Financial Advisor in North Carolina

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List of Financial Advisors in North Carolina
Financial Advisor Office Location Phone Number
Gary Graham,
Triangle Money Coach
1135 Kildaire Farm Rd.Suite 200,
Cary, NC  27511
(919) 415-4717
TONY MONTANARI, CIMA®,
ACM Wealth Management
212 S. Tryon Street,
Charlotte, NC  28281
Serving Asheville Surrounding Area,
Asheville, NC  28801
(877) 707-5429
Tom McDermott,
Prosperity Capital Group, Inc.
5565 Centerview Drive,
Raleigh, NC  27606
(919) 747-7344
Kenneth Nelson,AIF,CRPC,CRPS,MBA,
Nelson Wealth Advisors
10604 Bent Twig Drive,
Raleigh, NC  27613
(919) 796-9907
Austin Konecke,
Financial Engines Advisors, LLC
11006 Rushmore Drive Suite 175,
Charlotte, NC  28277
19109 West Catawba Avenue,
Cornelius, NC  28031
(704) 623-9623
(704) 553-9553
Josh Hederick,
Financial Engines Advisors, LLC
8450 Falls of Neuse Rd.,
Raleigh, NC  27615
717 Green Valey Rd.,
Greensboro, NC  27408
(919) 405-3800
(336) 899-0773
Mike Lushene,
Financial Strategies Group
125 Edinburgh South Drive Suite 207,
Cary, NC  27511
(919) 832-1765
Les H Kern,
Les H. Kern IAR
2306 Wrightsville Ave,
Wilmington, NC  28403
(800) 793-8884
Coach Pete D'Arruda, RICP®, MRFC, RFC®,
Capital Financial Advisory Group, LLC
1500 Town Side Drive, Suite 200,
Apex, NC  27502
(919) 657-4201
Mark Conway, GRI, CRS, CFP®,
Conway & Co. Financial Services
2914 North Heritage St.,
Kinston, NC  28501
(800) 522-1939
Strategic Investment Partners,
Strategic Investment Partners
1508 Military Cutoff Rd.,
Wilmington, NC  28403
(910) 509-7230

Information on Qualified Financial Advisors in North Carolina

Qualifications CRD# 6114609
Series 65


Office Location 1135 Kildaire Farm Rd.Suite 200,
Cary,
NC 
27511
Phone Number (919) 4154717

What do you want to do in retirement? Do you have a plan to get there? Gary Graham has been working with individuals and small business owners for several years. He believes it's important to understand someone's retirement goals, concerns and risk tolerance before making any recommendations. "People place their trust in me to do the right thing with their retirement plan. It's a huge responsibility I take seriously." As an Investment Advisor Representative, Gary has to follow the fiduciary standard - making recommendations that are in the best interest of the client. He wouldn't have it any other way! "I look at the fiduciary standard as a requirement I take the time to really understand my clients, he explains. He says people need to know as many of their options as possible, as well as the advantages and disadvantages of each. "I don't present a plan until we have explored, together, alternatives to reaching their retirement goals. In the end, they have designed the plan with my help." Gary and his staff have also taken the time to become experts on benefits for both Federal and State government employees. They have helped more than 300 Federal and State employees in North Carolina and Virginia. They fully understand all of the issues related to TSP Retirement Savings, FEGLI Life Insurance, Social Security and Long Term Care benefits available to these employees.

About Triangle Money Coach

If you're looking for clear and simple answers without someone trying to sell you something...is that too much to ask? We don't think so, it's actually a smart way to approach something as important as the security of your retirement and your hard-earned money. If that's you, then we are here to help. Our goal is to give you all the information you need to make an informed decision. The big thing is now YOU will be in control. You will have the information and it is your decision what to do with it. At Triangle Money Coach we strive to offer financial solutions that can help our clients minimize risks while growing and protecting their retirement and investable assets. We are not product driven; we look at the world through our client's eyes and help them identify areas where they may need financial planning assistance. That assistance is provided to our clients by helping them gain a better understanding of the financial services and products available to them. Through our Retirement Designed Money Management System, as well as our 21-point checklist, we look after our clients by making sure we have addressed not only the big issues, but also the many small issues that many other firms ignore.



Qualifications CRD# 3089483
Series 7, 31, 63, 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee


Office Location 212 S. Tryon Street,
Suite 1680,
Charlotte,
NC 
28281
Phone Number (877) 7075429

Office Location Serving Asheville Surrounding Area,
Asheville,NC  28801

Tony is the founder of ACM Wealth Management and Vice President of Business Development for Prospera Financial Services, a Five-time Independent Broker Dealer of the year by Investment Advisor Magazine. Tony is a Registered Investment Advisor and currently holds Series 7, 63, 65 and 31 licenses as well as life, health and long-term care insurance licenses. Additionally, he has held the Accredited Asset Management Specialist (AAMS) designation from the College of Financial Planning since 2003 and is a Certified Investment Management Analyst (CIMA) professional, a designation that is earned in conjunction with the Wharton School of Business and the Investments & Wealth Institute. Tony has been named a Five Star Wealth Manager by Charlotte Magazine in 2017, 2016, 2015, 2014, 2013, 2012, 2011 & 2010 for Best in Client Satisfaction. He has also been interviewed and quoted by local TV and print as well as national publications like The Wall Street Journal, FOX Business, Dow Jones News, Thomson Reuters, Registered Rep Magazine and FUNDfire. Tony is a member of the UNC Rams Club and is a life member of the UNC Alumni Association. He is an active member of Verdict Ridge Country Club, the Investments & Wealth Institute and the Financial Services Institute. Tony is also a board member of Sally's YMCA and East Lincoln Betterment Association. He resides in the Lake Norman area with his wife Lesley, and their three children, Evan, Logan and Emma.

About ACM Wealth Management

As a fee-based independent advisor, ACM Wealth Management creates unbiased, customized investment strategies to help build, protect and transfer client's wealth. We take a comprehensive and customized approach to your financial situation. Understanding what is most important to you, we then develop a clear long term plan that considers your needs, your goals, and your priorities. After the initial plan is developed we take an active role in your pursuit of these goals.



Qualifications CRD# 4369434
FirmCRD# 149414
Series 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets


Office Location 5565 Centerview Drive,
Suite 200,
Raleigh,
NC 
27606
Phone Number (919) 7477344

TOM MCDERMOTT entered the insurance and financial industry in 1988. His desire and passion was to help others prepare for their long term income needs in retirement. He started in the little town of Cookeville, TN and was asked to move to Raleigh, NC a short time later to help with a struggling office. Tom accepted the challenge and turned the office around to be productive in a very short time. As a result of his hard work and his 'putting others first' attitude, he became one of the top five advisors with a national insurance company. In 1993, Tom decided to go independent. That meant Tom could always put the clients' interest in front of a company's interest. This created an even better opportunity for his clients. The independence allowed him to become one of the top advisors in the nation. Tom, in addition to working with clients, also works with agents and advisors around the United States. He has been described as 'The Advisor to the Advisor.' Tom focuses on staying current with the issues and concerns that plague his clients. He has dedicated himself and his staff to staying current with issues and solutions available to better work with his clients. Tom has a team of attorneys and CPA's at his disposal to help with any legal and tax issue.

About Prosperity Capital Group, Inc.

We are committed to maintaining the highest standards of integrity and professionalism in our relationship with you, our client. We endeavor to know and understand your financial situation and provide you with only the highest quality information, services, and products to help you reach your goals.



Qualifications CRD# 1780923
FirmCRD# 30613
Series 7, 8, 24, 63, 65

Compensation/Fee I am a fee-based financial professional, Based on Assets, Commissions, Flat Fee, Hourly, Subscriptions


Office Location 10604 Bent Twig Drive,
Raleigh,
NC 
27613
Phone Number (919) 7969907

Ken Nelson started in the investment industry in Manhattan immediately after the crash of 1987. He earned an Engineering degree from Tufts University and has very strong quantitative skills as evidenced by his perfect Math SAT score, and State Chess Championship. He became a branch manager of a major brokerage firm at age 26, one of the youngest in his firms history. Ken has provided economic commentary on TV and radio since 1990. He can be heard in the Triangle on 680AM. Ken earned his MBA (3.9 GPA) from Duke University in 2001. At graduation, Ken was asked by his Professors to return and guest lecture. Ken has guest lectured at Duke in the MBA program and Olli Program. This Spring, Ken taught a class on "The History of Money and Financial Markets". He is in the process of turning his course into a book. Ken has utilized Duke, UNC,and NC State Phd candidates, Masters candidates and undergraduates as interns since 1991. They help Ken with his academic research in the financial markets. Ken and his fiance have 10 children and 4 grandchildren. Ken has coached boys and girls soccer at the recreational, Challenge and Classic level periodically since 1992 (mostly with CASL). Ken loves soccer, chess, skiing, history, and investments. While Ken has 30 years in the industry, he hopes to work 30 more. His investment practice is a family affair. His fiance' and son also work in the investment practice.

About Nelson Wealth Advisors

We are a committed group of professionals dedicated to providing superior investment advice to our corporate and high net worth clients. We average over 20 years of experience in the financial industry. We strive to provide the best, most professional and personalized service possible. We act honestly, with pride and integrity, and always in the best interest of our clients. We earn our clients trust and respect. We believe our knowledge, combined with the exceptional service we provide, ensure our clients are proud to recommend us to their family members, colleagues and friends."



Qualifications CRD# 2818642
FirmCRD# 104510
Series 6, 7, 24, 31, 63, 65

Compensation/Fee I am a Fee-Based financial professional


Office Location 11006 Rushmore Drive Suite 175,
Charlotte,
NC 
28277
Phone Number (704) 6239623

Office Location 19109 West Catawba Avenue,
2nd Floor,
Cornelius,NC  28031
Phone Number (704) 5539553

Joined Financial Engines in 2010. Began his career in the financial services industry in 1995. Successfully completed the Series 6, 7, 24, 63, and 65 examination(s) administered by FINRA. Earned the Certified Fund Specialist (CFS®) and Chartered Retirement Planning CounselorSM (CRPC®) certification(s). Bachelor's degree in History from Scranton University. Married to Sarah. They have one child: AJ. Austin enjoys golfing, sailing, swimming, cooking, and flag football.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).



Qualifications CRD# 3120694
FirmCRD# 104510
Series 65

Compensation/Fee I am a Fee-Based financial professional


Office Location 8450 Falls of Neuse Rd.,
Suite 206,
Raleigh,
NC 
27615
Phone Number (919) 4053800

Office Location 717 Green Valey Rd.,
Suite 200,
Greensboro,NC  27408
Phone Number (336) 8990773

Joined Financial Engines in 2005. Began his career in the financial services industry in 1998. Successfully completed the Series 65 examination(s) administered by FINRA. Earned the Chartered Mutual Fund CounselorSM (CMFC®) certification(s). Bachelor's degree in Finance from James Madison University. Married to Chrissy. They have three children. Josh enjoys golfing, family, and financial matters.

About Financial Engines Advisors, LLC

Financial Engines is America's largest investment advisor1. We help people achieve greater financial clarity by providing professional investment management, comprehensive financial planning and advice for everyday Americans. Financial Engines was co-founded in 1996 by a Nobel Prize- winning economist and we currently offer financial help to millions of people. Our unique approach, combined with powerful online services, dedicated advisors and personal attention both in and outside of the workplace, promotes greater financial wellness and helps more Americans get on track to meet their financial goals. 1For independence methodology and ranking, see InvestmentNews RIA Data Center. (http://data.investmentnews.com/ria).



Qualifications CRD# 3167299
Series 6, 7, 63, 65


Office Location 125 Edinburgh South Drive Suite 207,
Cary,
NC 
27511
Phone Number (919) 8321765

J. Michael "Mike" Lushene, Jr. is a native of Raleigh and has been in the financial services business in the Raleigh/Cary area since 1996. Mike joined Financial Strategies Group in 2005 and specializes in financial planning to include retirement planning, asset allocation, education planning, wealth accumulation, preservation, and risk management. Mike holds Series 6, 7, 63 and 65 securities licenses as well as being a Registered Representative with Securities America, Inc. Mike is a licensed life, health and long term care agent. Mike earned his BA degree from the University of West Florida in Pensacola, FL. and is married, to his wife, Paula, of 21 years, and has 3 children. He loves playing golf, riding motorcycles and spending time with his family. Mike is Licensed in NC, SC, VA, FL, IN, OH, AZ, CA, and MD.

About Financial Strategies Group

Are You Retirement Ready? Without a roadmap, the path toward and into retirement can be difficult. Having a comprehensive and up-to-date retirement strategy, with a knowledgeable team offering support, may help make the road ahead less strenuous. At Financial Strategies Group, we understand the many concerns individuals and families face as they prepare for retirement, whether that is five or fifteen years away. Our goal is to help clients feel confident about their future and pursue their vision of a comfortable retirement. Through our comprehensive approach, we develop customized retirement strategies that address clients? individual needs and goals, both short and long-term. Retirement is a significant milestone in one?s life. Our mission is to help make that transition more manageable and less stressful by building a personalized retirement strategy and offering ongoing support, unbiased advice, and objective guidance. Start preparing for tomorrow?s retirement today by contacting us to learn more or to set up a commitment-free introductory meeting.



Qualifications CRD# 1140180
FirmCRD# 116324
Series 6, 7, 24, 63, 65 variable contracts

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee, Hourly


Office Location 2306 Wrightsville Ave,
#201,
Wilmington,
NC 
28403
Phone Number (800) 7938884

I am Investment Advisor, Financial Advisor & Wealth Advisor of wealth management firm that is committed to listening and helping individuals investors get to retirement, primary middle-income people. To help provide a sound retirement income safely they cannot outlive. I have programs that are designed to protect, conserve and grow our client's wealth or give income by managing risk with a level of personal services. I take pride in servicing my clients by meeting them regularly and promptly returning their phone calls. You will discover the safe, easy way to get results. My mission is to provide quality products and service to clients which enhances the quality of life for my clients. In doing so, I will deal with integrity and honesty, reflecting that people that are more important than dollars and that my purpose is to bring credit to our Lord Jesus Christ

About Les H. Kern IAR

We believe that while it is important to choose investments and financial strategies with a history of good rates of return, it is just as important to look at and investment's performance in a year with a market downturn. We teach clients that to get the best return, their portfolios cannot go backwards. We only recommend investments with well-defined sell strategies that we believe will weather downturns efficiently. The bottom line: We try to avoid loss whenever possible. Les H. Kern is an Investment Advisor, of a wealth management firm of D.H. Hill Advisors that is committed to helping clients get to retirement and to help provide a sound retirement income they cannot outlive. As a true independent advisor our customized programs are designed to protect, conserve and grow our client's wealth by sound income strategies with investments that deliver an unprecedented level of income with services



Qualifications CRD# 2756672
FirmCRD# 144374
Series 65

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Commissions, Flat Fee, Hourly


Office Location 1500 Town Side Drive, Suite 200,
Call : (919) 657-4201,
Apex,
NC 
27502
Phone Number (919) 6574201

He has authored 6 books and co-authored 2. Two of his books have reached the best-sellers list on Amazon. The most noteworthy book, Successonomics, is one that Coach Pete co-authored with Steve Forbes. But, by far, his favorite book just happens to be his most recent, 7 Baby Steps to a ridiculously Reliable Retirement Income. His newest book, AMERICA ASKS COACH is a great read as well. He has just been named to the prestigious Forbes Leadership Council and will be submitting at least 6 articles a year to Forbes. He is a graduate of The University of North Carolina. He is a proud father of daughter, Caroline, age 12 with his wife, Kim. A+ rating with the BBB (Better Business Bureau).

About Capital Financial Advisory Group, LLC

Known as "Coach Pete" to his listeners and clients, Coach Pete and his firm are a committed group of professional fiduciaries dedicated to providing superior investment advice to their high net worth clients. A fiduciary is any person or institution that has the power to act on behalf of another in situations that require great trust, honesty, and loyalty. His radio show, "The Financial Safari" first aired in 2005 and can be heard weekly on more than 50 stations nationwide. Also known as the King of Income Planning, Coach Pete's approach to systematic, lifetime income planning is followed by many who wish to reduce retirement worries. The firm provides personalized investment and income strategies as well as tax and estate evaluation for all sizes of portfolios and estates. Call today and see if this is the family atmosphere you've always wanted.



Qualifications CRD# 52842
Series 7, 24, 63 General Securities 1

Compensation/Fee I am a Fee-Based financial professional, Based on Assets


Office Location 2914 North Heritage St.,
Kinston,
NC 
28501
Phone Number (800) 5221939

Conway & Co. Financial Services was established in 1967. Mark I. Conway, founder, has been assisting clients in planning their financial futures since that time. Mark through his affiliation with Cambridge Investment Research, Inc. addresses retirement planning, estate planning, tax reduction strategies, and college funding. A native of North Carolina, Mark is a graduate of the College for Financial Planning entitling him to use the CERTIFIED FINANCIAL PLANNER TM professional designation. He is a Registered Representative and an Investment Advisor Representative with Cambridge Investment Research, Inc. and holds a principals license with that firm. In the securities industry, he holds general securities 1, FINRA Series 7, 63, and 24 registrations. He holds insurance licenses including Life/Heath, Long Term Care, Disability, Property/Casualty, and variable products. Mark is also a graduate of the Realtors Institute at the University of North Carolina at Chapel Hill and holds the GRI (Graduate Realtors Institute) and CRS (Certified Residential Specialist) designations. Mark is married to Susan H. Conway. Together they have five children. They reside in Kinston. Mark's feelings for his clients over the years have evolved into what is now the firm's mission statement "Helping People Plan Their Financial Futures"

About Conway & Co. Financial Services

We are committed to maintaining the highest standards of integrity and professionalism in our relationship with you, our client. We endeavor to know and understand your financial situation and provide you with personalized information, services, and investments to help you reach your goals. We act in a Fiduciary capacity as we represent our clients best interest. We take pride in our approach to the Total Financial Planning journey involving the family and its branches from beginning to end.



Qualifications CRD# 5915046
Series 7, 66

Compensation/Fee I am a Fee-Based financial professional, Based on Assets, Hourly


Office Location 1508 Military Cutoff Rd.,
Suite 206,
Wilmington,
NC 
28403
Phone Number (910) 5097230

Brent holds series 7 and 66 securities registrations with Cambridge Investment Research, Inc.. Concentrating on risk management, Brent quickly realized and understood just how essential the prevalence of a risk-managed approach is for his valued clients. Brent decided he wanted to add value by offering total financial services to his clients and joined the family business, Conway & Company Financial Services in 2011. In the fall of 2017, Brent and long-time friend Justin Wolfe expanded the family owned and operated business in Wilmington with Strategic Investment Partners. Brent is a Registered Representative and Investment Advisor Representative with Cambridge Investment Research, Inc. He is also a licensed insurance agent in the field of Life, Health, Variable Insurance, as well as Property and Casualty. Brent is a long-time member of the Rotary Club of Kinston and upholds the club values in volunteer and fundraising efforts. He is also a member of the Wrightsville Beach United Methodist Church and continues to strengthen his faith. Recently Brent was nominated to join the Wrightsville Beach Foundation which he gladly accepted a board position. The foundation is a non-profit with a mission statement is a commitment to develop and promote a venue that will have the ability to generate funds that can be used to promote, improve and enhance the quality and enjoyment of our islands parks and recreation programs and amenities.

About Strategic Investment Partners

We are committed to maintaining the highest standards of integrity and professionalism in our relationship with you, our client. We endeavor to know and understand your financial situation and provide you with personalized information, services, and products to help you reach your goals. Strategic Investment Partners is a sub-branch of Conway & Company Financial Services. We operate as FIDUCIARIES so we are ethically and legally required to invest our client assets in their best interest. A long-term perspective of the Dow Jones Industrial Average reveals the reality there are extended periods of time which the US equity market will trend upwards, and also long periods of time where the market will instead stagnate or move generally lower. Our Fact-Based Strategy - Underpinning our Fact-Based strategy is a set of core beliefs about the market. These core beliefs are: 1. We don't know where the market will go - and neither does anyone else. 2. Wherever the market goes, it will get there by trending. 3. Along the way, there will be outperformers and underperformers. Armed with these three core beliefs, we are well equipped to handle whatever the market brings - ALL WITHOUT HAVING TO MAKE A SINGLE PREDICTION. Using supply and demand analysis, our Fact-Based strategy concentrates on identifying outperformers to include in our portfolios. Together, they give us the "when" and "what" - the two essential ingredients of success.



List of Additional Financial Advisors in North Carolina
Resource Partners Llc Hickory, NC
Allen Wealth Management, Llc Boone, NC
Parker Financial Group Matthews, NC
Franklin Street Advisors Inc. Chapel Hill, NC
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