Five Star Wealth Managers

Transcription

1 In a consumer study about dynamics between wealth managers and their clients, polled wealth managers and consumers about communications. Both groups said that connecting three to four times a year is the right communications strategy, but expectations are not aligned in all areas: 29 percent of consumers want to be contacted by their wealth manager whenever events require an update; only 7 percent of wealth managers say they contact clients based on the impact of events. 63 percent of consumers say they receive the right amount of communication from their wealth manager. From research conducted by, April Wealth managers, broadly defined, are those individuals who help you manage your financial world and/or implement aspects of your financial strategies. Common examples of wealth managers Award 2012 Dallas/Fort Worth Five Star Wealth Managers are financial advisors, financial planners, investment advisors, tax advisors and estate planning attorneys. How do you find a wealth manager with experience, who has a good base of clients with high retention rates, and who has undergone a regulatory and complaint review? And when you find them, are they accepting new clients? The publishers of Texas Monthly and partnered to find wealth managers who satisfy 10 objective eligibility and evaluation criteria that are associated with wealth managers who provide quality services to their clients. Among many distinguishing attributes, the average one-year client retention rate for this year s award winners is more than 96 percent. Don t listen to other people. Investigate for yourself. Be wary of advisers who say they never had a down year. A Select Award Five Star Wealth Manager The are a select group, representing less than 4 percent of the wealth managers in the Dallas/Fort Worth region. (1) Although this list is a useful tool for anyone looking for help in managing their financial world or implementing aspects of their financial strategies, it should not be considered exhaustive. Undoubtedly, there are many excellent wealth managers who, for one reason or another, are not on this year s list. In order to consider a broad population of high-quality wealth managers, award candidates are identified by one of three sources: firm nomination, peer nomination or pre-qualification based on industry standing. Self-nominations are not accepted. Dallas/Fort Worth award Candidates candidates were identified using internal and external research data, including a survey to more than 14,000 registered financial services professionals and all identified financial service companies in the area that are registered with FINRA or the SEC. Five Staon Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-1

2 Determination Of Award Winners Research Disclosures WMD-2 August 2012 t e x a s m o n t h l y. c o m Award candidates who satisfied 10 objective eligibility and evaluation criteria that are associated with wealth managers who provide quality services were named 2012 Five Star Wealth Managers. (2) Eligibility Criteria Required (3) 1. Credentialed as an investment advisory representative (IAR), a FINRA-registered representative, a CPA or a licensed attorney. 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years. 3. Favorable regulatory and complaint history review. (4) 4. Fulfilled their firm review based on internal firm standards. 5. Accepting new clients. Evaluation Criteria Considered (3) 6. One-year client retention rate (the average one-year client retention rate of this year s award winners is more than 96 percent). 7. Five-year client retention rate. 8. Non-institutional discretionary and/or non-discretionary client assets administered (this year s award winners administer an average of $100 million in client assets). 9. Number of client households served (on average, this year s award winners serve 252 households). 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The Five Star award is not indicative of the wealth manager s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by or Texas Monthly. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by in the future. is not an advisory firm, and the content of this article should not be considered financial advice. For more information on the Five Star award and the research/ selection methodology, go to (1) 2,688 award candidates in the Dallas/Fort Worth region were considered for the Five Star Wealth Manager award. 654 (approximately 24 percent of the award candidates) were named 2012 Five Star Wealth Managers. (2) Wealth managers were required to certify that any information they provided was accurate. (3) Criteria 4, 8 and 9 do not apply to attorneys or CPAs. (4) As defined by, the wealth manager has not: Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine. Had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or s consumer complaint process. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority. Filed for personal bankruptcy. Been convicted of a felony The Five Star award goes to less than 7 percent of wealth managers. Insights from Five Star Wealth Managers Wishful thinking is not planning. If you plan for the worst, you will never be unpleasantly surprised. Clients don t care how much you know until they know how much you care. Only invest in something that you understand. What matters most is how you recover from setbacks. conducts a regulatory review of each nominated wealth manager using the Investment Adviser Public Disclosure (IAPD) website. also uses multiple supporting processes to help ensure that a favorable regulatory and complaint history exists. Data submitted through these processes was applied per the above criteria: Each wealth manager who passes the regulatory review must attest that they meet the definition of favorable regulatory history, based upon the criteria listed above. promotes via local advertising the opportunity for consumers to confidentially submit complaints regarding a wealth manager. contacted approximately 1 in 12 households identified as having a high propensity to use the services of wealth managers in order to provide consumers the opportunity to submit complaints regarding a wealth manager. More than 87,500 households in the Dallas/Fort Worth region were contacted. Five Staon Five ofes The Five Star Wealth Manager selection criteria was updated for the 2012 award year Five Star Wealth Managers scored highest in overall satisfaction based on feedback from clients, peers and industry experts. No more than 7 percent of wealth managers receive the award each year. The selection process for the award winners can be found at

3 Business Planning John Ackley Ackley Financial Group Caroline Austin First Southwest Advisory Services Cynthia Barker Legacy Texas Bank Joe Chenoweth ARMOR Wealth Management Crawford Gates Sagemark Consulting Ramona Locke Merrill Lynch Owen Stewart Stewart Business Services Michael Weaver Ackley Financial Group Estate Planning Christopher Abel Ameriprise Financial Services, Inc. Ronald Adams Brackett and Ellis David Bird Bird Skibell Bohach Marvin Blum The Blum Firm Karl Bryant Walker & Doepfner Michael Cohen Michael B. Cohen & Associates John Collins Haynes and Boone Norman Rocky Farr Diesslin & Associates Page 38 Ronald Foxman Higier Allen & Lautin Wesley Goenawein Wesley A. Goenawein, Jr. Ronald Grant Ronald E. Grant, Attorney at Law David Hendricks David P. Hendricks Kathryn Henkel K&L Gates William Houser Jordan Houser & Flournoy Jerry Jackson Law Office of Jerry B. Jackson Michael Kaufman Jackson Walker Robert Kroney Kroney-Morse-Lan David Krueger Krueger Merkley & Bolton Norman Lofgren Looper Reed & McGraw Robert D. Lybrand Robert D. Lybrand Henry C. McFadyen, Jr. McFadyen Law Firm Timothy Mebane LPL Financial Page 39 James Mincey, Jr. Mincey-Carter Jan Mohamed ConfidentVision Page 34 Award winners listed by primary services and listed alphabetically by last name. George Nachman George J. Nachman, Attorney at Law Keith Novick Gardere Wynne Sewell Ken Paxton Pettinger Paxton Nuspl & Crumley Susan Periquet Susan Whitson Periquet, Attorney at Law Darryl V. Pratt Darryl V. Pratt, Attorney at Law Ryan Randall Staubus & Randall Sol Reifer Wright Ginsberg Brusilow John Rothpletz Looper Reed & McGraw John Round Strasburger & Price Mark Seebeck Seebeck & Associates Page 39 Chuck Sharpe Sharpe & Associates Kenneth Sloan Sloan & Roberts Dani Smith Strasburger & Price Bert Starr Law Offices of Bert Starr Eric Vincent Vincent Wealth Management Page 36 Robert Widmer, Jr. Robert J. Widmer, Jr. Linda L. Wiland Blankenship Wiland & O Connor Lawrence Wolfish Wolfish & Newman A.C. Tracy Wood III A.C. Wood & Associates Jeffrey Yates Albin Yates Balius Roach Financial Planning Clint Adams Cotton-Adams Financial Group Page 27 Tom Adcock LPL Financial George Alden Alden Financial Group Marvin Allensworth Thrivent Financial for Lutherans Page 37 Paula Allgood Beaird Harris Wealth Management Todd Amacher Robertson Griege & Thoele Jerry Anderson LPL Financial Jayson Bales Robert W. Baird & Company Douglas Bartol Money Matters Howard Bellet Ameriprise Financial Services, Inc. Jeff Bellinghausen Ameriprise Financial Services, Inc. John Berry Corner Post Financial Planning Michelle Berry Raymond James & Associates Page 33 Kathy Bickhaus Merrill Lynch Charlotte Joyce Birk LPL Financial Steve Blankenship Heritage Financial Planning Kalita Beck Blessing Quest Capital Management Danny Blevins Ameriprise Financial Services, Inc. Stephen Blum Strategic Wealth Planning Lisa Bordelon Raymond James Morgan Keegan Erin Botsford The Botsford Group Jason Bottenfield Morgan Stanley Smith Barney Page 37 Colleen Bowler Lincoln Financial Advisors/ Strategic Wealth Partners Grover Brillhart ARMOR Wealth Management Page 37 Lynn Bryant Bryant Financial Services Corporation Bradley Burnfield Ameriprise Financial Services, Inc. Page 37 Dusti Calander Ameriprise Financial Services, Inc. Wes Camp Financial Network Investment Corporation Nick Campbell Nick Campbell Financial Group/ LPL Financial Mark Cannon Ameriprise Financial Services, Inc. Dennis Carpenter International Wealth Management Bill Carter Carter Financial Management Page 12 Travis Carter Insight Wealth Partners John Chalk Chalk Cullum and Associates Brian Chastain CFO4Life John Checki John Checki Guy Church Ameriprise Financial Services, Inc. Five Staon Raymond Clark Ameriprise Financial Services, Inc. Page 37 Gregory Clifton Clifton Capital Partners Bryan Clintsman Clintsman Financial Planning Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-3

4 Donald Cohen Morgan Stanley Smith Barney Scott Cohen Waldman Bros Karl Cole LPL Financial Richard Colleoni Morgan Keegan & Company Rob Cox Quest Capital Management Philip Crew Morgan Stanley Smith Barney Carl Cuff Ayco/Goldman Sachs Jeff Cummins Spectrum Financial Group Michael Dallas Michael Dallas Wealth Management Bryce Danley Ameriprise Financial Services, Inc. William E. Dendy Elite Financial Management Page 24 Allen Kent Dennis Merrill Lynch E. Kim Dignum Dignum Financial Partners John F. Donovan Lincoln Financial Advisors/ Strategic Wealth Partners Patrick Dougherty Dougherty Wealth Management Shaun Dowling Howard Financial Services Terry Doyle Doyle and Associates/Ameriprise Financial Services, Inc. Eli Dragon Money Matters David Dryden Insight Wealth Partners Mark Duckworth Morgan Stanley Smith Barney Page 37 Mary H. Durie Quest Capital Management Tom Dwyer Financial Design Group Brian Eckeberger Genesis Financial Group Tandy Ervin LPL Financial Chip Eubank Eubank Hutson & Associates Art Fahim Ameriprise Financial Services, Inc. John Farris MPACT Financial Group Deborah Federick Ameriprise Financial Services, Inc. Page 38 Christopher Fess Fess Financial Page 33 Richard Fielder Morgan Stanley Smith Barney Mark Fillnow Ameriprise Financial Services, Inc. Tiffany Finney-Johnson JWA Financial Group WMD-4 August 2012 t e x a s m o n t h l y. c o m Award winners listed by primary services and listed alphabetically by last name. Patrick Fontana Merrill Lynch Joe Foster Foster Financial Group Page 38 Michael Franklin The Asset Preservation Group Patrick Freeman Freeman Wealth Management George Galanis Morgan Stanley Smith Barney Joseph Galloway Ameriprise Financial Services, Inc. Jaime Galvan Spectrum Financial Group Mason W. Gann Milkie Ferguson Investments Chris Garcia Ameriprise Financial Services, Inc. Frances Gardner ARMOR Wealth Management Page 33 Carlos Garza First Command Financial Services John Gay Frisco Financial Planning Roger Gekiere Navigation Financial Allen Gibson Ameriprise Financial Services, Inc. Page 14 Henri Glover HG Tailored Financial Services Donald Goerner Spectrum Advisors Alan Goldfarb Weaver Wealth Management Todd Green Perennial Financial Solutions Craig Greenway SFMG Wealth Advisors Barney Grossman Morgan Stanley Smith Barney Ricky Grunden, Sr. Grunden Financial Advisory Page 29 Barton Gunter LPL Financial Page 38 Steven Hagemann Navigation Financial Patricia Hammond Carter Financial Management Page 12 Carol Harper Ameriprise Financial Services, Inc. Page 38 Curtis Harris Evos Financial James Harvey Morgan Stanley Smith Barney Chris Hatton Money Matters Crystal Hawkins CFO4Life John Michael Hemp Stratford Consulting Darren Hill Morgan Stanley Smith Barney Terry Hill Terry Hill & Associates Lora Hoff IPI Wealth Management Dallas Page 39 Sullivan Holland Merrill Lynch Jeremy Hudson Howard Financial Services Matt Irwin Ameriprise Financial Services, Inc. Leslie Jackson Jackson Investment Associates Page 34 David P. James James Financial Group Page 34 Mark Jenison AXA Advisors Ron Johnson Morgan Stanley Smith Barney Charles Jones Ameriprise Financial Services, Inc. Bryan Keever Ameriprise Financial Services, Inc. Glenda D. Kemple Kemple Capital Charles King Inspire Financial Group Page 15 Jacob King Beaird Harris Wealth Management Tyson King Inspire Financial Group Page 15 Mitchell Kramer Fluent Financial Thomas Kroehle Income by Design Kevin Kuhnel Merrill Lynch Carl J. Kunhardt Quest Capital Management Travis Ladner Ameriprise Financial Services, Inc. Brian Langford Middlebrook Lee and Langford/ Ameriprise Financial Services, Inc. James Larkin Ameriprise Financial Services, Inc. David Lavallee First Command Financial Services Lucas Lawson Lifetime Strategies Group Chris Leap Leap Wealth Management/Ameriprise Financial Services, Inc. Bryan Lee Strategic Financial Planning Charles Lee Middlebrook Lee and Langford/ Ameriprise Financial Services, Inc. Richard Lee Lee Financial Corporation Page 17 James Lehman Wolfe Lehman Wammack & Associates/Ameriprise Financial Services, Inc. Page 32 Five Staon Dwayne Leleux Southwest Securities Five ofes Woody Levinson LS Wealth Strategies

5 Brett Levy Merrill Lynch Bruce Lewin Lewin Wealth Management Chris Lewis Lewis Brown Page 18 Steve Lindberg Lindberg Financial Brent Little Odyssey Wealth Management Steven Lorio Lorio Wealth Management Chris Lott Smith Anglin Financial Bill Lourcey Walton & Lourcey Lloyd Lowe LD Lowe Wealth Advisory Page 16 Tim Lowry Dean Jacobson Financial Services John Loyd LPL Financial David Luellen Ayco/Goldman Sachs Blaine Malcolm The Botsford Group James Marsden Atlas Wealth Advisors Randy Matthews Matthews Wealth Management Page 30 Dan Mauck Clintsman Financial Planning R. Scott Maxwell Talis Advisory Services Walter May May Financial Solutions Jonathan Mazur Luke Financial Company Stewart Mc Lauchlan Ameriprise Financial Services, Inc. Sean McGrath Morgan Stanley Smith Barney Lynn McIntire Cadent Capital Tom McIntire Cadent Capital Charla McIntyre-Fields Ameriprise Financial Services, Inc. Doug McKelvey Morgan Stanley Smith Barney Levi McMellian CFO4Life David Meadors Morgan Stanley Smith Barney Page 20 David Medlin Ameriprise Financial Services, Inc. Jim Middlebrook Middlebrook Lee and Langford/ Ameriprise Financial Services, Inc. Marcia H. Miller Ameriprise Financial Services, Inc. Michael Mills Mike Mills Wealth Management Cynthia Montgomery Red Oak Financial Group Award winners listed by primary services and listed alphabetically by last name. Thomas Montgomery Montgomery Coscia Greilich Kevin Moore Moore Financial Group Shawn Moore Morgan Stanley Smith Barney Ken Moraif Money Matters Brent Morton First Financial Equity Corporation Scott Mulloy Ameriprise Financial Services, Inc. Mark Mundy Mundy Financial Solutions Donald Murphey AXA Advisors Steve Namy Investment Professionals Luisa Nemati Weaver Wealth Management Jeremy Newton LPL Financial Don Noblit Don Noblit Associates Stacy C. Notley THE MANNING GROUP Page 39 Lisa Rapfogel Ostroff Allegiant Wealth Management Page 39 Ken Painter KPLL Private Wealth Jason Palmer Ameriprise Financial Services, Inc. Robert Pearson Morgan Stanley Smith Barney Page 21 Charles Pepkin Ameriprise Financial Services, Inc. David Peterson Peak Capital/United Capital Thomas Philipp Professional Wealth Management Group Dana Pingenot Lee Financial Corporation Page 17 Kevin Pittman Ameriprise Financial Services, Inc. Betty Poage Ameriprise Financial Services, Inc. Page 39 Paul Pomeroy LPL Financial Jason Potts Lifetime Wealth Management David Quick Hearthstone Financial Teresa Quinn Lee Financial Corporation Page 17 James Rees Stoneway Financial Mike Reppert Spectrum Advisors Page 10 & 11 Darrell Roberts Ameriprise Financial Services, Inc. Gerald Robinson LightForce Financial Paul Robinson Robert W. Baird & Company Eduardo Rodriguez Lee Financial Corporation Page 17 Craig Rogers Rogers Wealth Group Page 23 Richard Rogers RBC Wealth Management Toni Rose Flagship Financial Group Kimberly Rule LPL Financial David Russakov Charles Schwab & Company Bill Saplicki LS Wealth Strategies Barbara Saunders Saunders & Associates Page 31 Susan Schildt Stratford Consulting Jeff Schuetts Merrill Lynch Cari Schulz Morgan Stanley Smith Barney Roger Shake Legacy Consulting Group A. Michael Sheff Morgan Stanley Smith Barney Page 39 Kyle Shores The Botsford Group Lawrence Silverman CFO4Life Robert Silvestri Morgan Stanley Smith Barney Page 35 Bill Skelton Southwest Securities M. Scott Slayton MetLife Financial Group of the Southwest W. Philip Smiley Ameriprise Financial Services, Inc. Page 36 Michael J. Smith Lifetime Strategies Group Shawn Smith Smith & Associates/Ameriprise Financial Services, Inc. Jennifer Snee Ameriprise Financial Services, Inc. Ted Snow Snow Financial Group Lynn Soderstrom Ameriprise Financial Services, Inc. Mark Stegman Ameriprise Financial Services, Inc. Page 36 Five Staon Renee Sterling Morgan Stanley Smith Barney Richard Stevens Stevens Financial Group Page 40 Five ofes Gordon Stevenson Morgan Stanley Smith Barney t e x a s m o n t h l y. c o m August 2012 WMD-5

6 John Stockton Financial Coaching Steven Stratton New York Life Insurance Company Sandra Strohmeyer Ameriprise Financial Services, Inc. Drew Swedlund Merrill Lynch Viktor Szucs Morgan Stanley Smith Barney Sammy Tally BFT Financial Group Michael Tannery Tannery & Company Wealth Management David E. Taylor Raymond James & Associates R. Jeff Taylor Ameriprise Financial Services, Inc. William Taylor Cypress Wealth Management Carolyn Teschemacher Navigation Financial Chuck Titterington Ameriprise Financial Services, Inc. Roy Todd My Own Money Duke Tran RBC Wealth Management Richard Treta Lincoln Financial Advisors Trudy Turner Robertson Griege & Thoele Kyli Vardeman Ameriprise Financial Services, Inc. Neal Vasso Vasso & Associates/Ameriprise Financial Services, Inc. Derek Vaughn Ameriprise Financial Services, Inc. Phil Vick Sovereignty Advisors Steven Wachs Legacy Consulting Group Michael Walden Ameriprise Financial Services, Inc. Tammie Walker Ameriprise Financial Services, Inc. Dusty Wallace Lee Financial Corporation Page 17 Larry Wallace BrokersXpress Kyle Walters Atlas Wealth Advisors Clint Wammack Wolfe Lehman Wammack & Associates/Ameriprise Financial Services, Inc. Page 32 Dexter Ward Dexter Ward Page 40 George Warner Wealth Management Group/ American National Bank Page 26 WMD-6 August 2012 t e x a s m o n t h l y. c o m Award winners listed by primary services and listed alphabetically by last name. Sean Weaver Whitney Wetzel & Kuether James Webb Webb Financial Jennifer Wells Ameriprise Financial Services, Inc. James Whiddon JWA Financial Group Roger Whitney Whitney Wetzel & Kuether Brandon Williams American Airlines Federal Credit Union Norman Williams Senior Asset Protection Services Page 36 Tim Wilson Wealth Management Group Page 26 Jeffrey Wolf WealthStar Advisors Eric Wolfe Wolfe Lehman Wammack & Associates/Ameriprise Financial Services, Inc. Page 32 Jon Wych Merrill Lynch Billy Yarbrough Ameriprise Financial Services, Inc. Chris S. Young Quest Capital Management Insurance Paul Baker Paul Baker Insurance Agency Gus Bates III Gus Bates Insurance & Investments Don Grogan New York Life Insurance Company Corey Metz Metz Insurance & Financial Stephen Newton Primerica Kirk Quaschnick Mogul Wealth Strategies Investments Austin Adams LPL Financial James Aldendifer Morgan Stanley Smith Barney J. Timothy Allen Wells Fargo Advisors Financial Network, LLC Zachary Allen Disciplined Advisors Group Brett Anderson International Research & Asset Management Frankie Andrew Wells Fargo Advisors, LLC Roger Asel Certified Financial Strategies Frank Aswad Edward Jones James Aughenbaugh Morgan Stanley Smith Barney Chad Bagley Edward Jones Merry Lyn Bagwell Wells Fargo Advisors, LLC Mark Baker RBC Wealth Management Gregg Ballew Westwood Trust Dan Barlow Wells Fargo Advisors, LLC David Barnes Credit Suisse Clifton Barrett Edward Jones Paul Bateman Ameriprise Financial Services, Inc. Kris Beaulieu Clarity Financial Group Emerson Bell Fee-Only Financial Planning Ricky Bingham RLBingham Financial Group/ MetLife Page 37 Jonathan Black Merrill Lynch Tony Blauvelt Edward Jones Michael Bless Wells Fargo Advisors, LLC Phillip Blevins Wells Fargo Advisors, LLC Sonja Blumoff Merrill Lynch Jim Bowers Morgan Stanley Smith Barney Danny Boyce Lee Financial Corporation Page 17 Cindy Brewington Edward Jones Jeffrey Bridges Morgan Stanley Smith Barney Don Brock Edward Jones Brian Brode Merrill Lynch Ken Brown Maplewood Investment Advisors Michael Brown Edward Jones Rick Brown RL Brown Financial Wayne Bruns Merrill Lynch David Burgess Rhodes Securities Michael Busch Vogel Financial Advisors Michelle Calabro RBC Wealth Management Bill Callis Southwest Securities John Carpenter Merrill Lynch Five Staon Lois Cartwright Merrill Lynch Marcelo Castaneda Charles Schwab & Company Five ofes Richard Cather Merrill Lynch Blake Cecil Merrill Lynch

7 Robert Chase Ameriprise Financial Services, Inc. Michael Chauvenet Capital and Insurance Resources Steven Chensky Merrill Lynch Kelley Clowe Capital West Securities Doug Cochran LPL Financial Rusty Cooper Morgan Stanley Smith Barney Mischelle Copeland Wells Fargo Advisors, LLC Page 27 Robert Cordiak J.P. Morgan Securities Steve Cotton Cotton-Adams Financial Group Page 27 David Cox Merrill Lynch Matthew Dann Wells Fargo Advisors, LLC Scott Davidoff Wells Fargo Advisors, LLC Robert DeBeer Merrill Lynch Tom Decker Wells Fargo Advisors, LLC Jim DePue Edward Jones Kevin Dickey Morgan Stanley Smith Barney David Diesslin Diesslin & Associates Page 37 Robert Dilworth Merrill Lynch Don Donnally J.P. Morgan Securities Doug Dyer Money Matters Wendy Edwards Wells Fargo Advisors, LLC Stephen Engels Wells Fargo Advisors, LLC Nicholas English Westwood Trust Stephen Engro Beacon Financial Group Page 28 Richard Erwin Investors Asset Management JoAnn Eubank Ameriprise Financial Services, Inc. Page 38 Andy Evans Wells Fargo Advisors, LLC Page 38 Chuck Evans RBC Wealth Management Jeffrey Everett Talis Advisory Services Terry Farester Sunbelt Justin Farris The Farris Group Page 38 Michael Felker Ameriprise Financial Services, Inc. Jason Fernandez Wells Fargo Advisors, LLC Award winners listed by primary services and listed alphabetically by last name. Mark Fields EstateMark Financial Gerald Finley SWS Financial Services Mark Finley The Finley Agency Alan Folz Morgan Stanley Smith Barney John Ford Mercantile Advisors Richard Frazar Westwood Trust Kevin Freeman Freeman Global Investment Counsel Michael Gage Wells Fargo Advisors, LLC John Gallagher Principal Financial Group Vernon Gang, Jr. Wells Fargo Advisors, LLC Charles Garner Ameriprise Financial Services, Inc. Wayne Garrett Snow Garrett Wealth Management Page 32 Lorie Gebbie Wells Fargo Advisors, LLC Page 27 Steven Gendler Alliance Financial Group Jennifer George-Smith American National Bank of Texas Page 26 John Gilbert SMH Capital Advisors M. DeLene Gilbert Evos Financial Sonia Ginnell Merrill Lynch Nick Giorgio Ameriprise Financial Services, Inc. Page 38 Damon Gonzalez Domestique Capital Pamela Gothard Wells Fargo Advisors, LLC Page 33 Todd Gough Ironwood Recovery Management Kevin Gray Ayco/Goldman Sachs Stephanie Groschup Groschup Martin Wealth Management Group Joseph Guffey Raymond James & Associates Steven Gundy GS Wealth Management Scott Gunnip Morgan Stanley Smith Barney Kevin Hadawi Wells Fargo Advisors, LLC Scott Hammel AWA Robert Hamrick Hamrick Financial Sarah H. Hancock Hancock-Smith Janet Hanna Edward Jones Harvey Harper Edward Jones Samuel Harrell Morgan Stanley Smith Barney Emily Harwood Charles Schwab & Company Dan Heard Morgan Stanley Smith Barney Brian Hendon Edward Jones John Hetzel JWA Financial Group Brian Hobbs TH Wealth Management David Hobbs Raymond James & Associates Gary Holland Holland Investment Management Page 29 Kim Holland Managed Assets/LPL Financial Robert Holman Edward Jones Christopher Holtby Midland Wealth Management James Hopson Capital Advisory Group Robert Hrnicek Morgan Stanley Smith Barney Page 34 Gary Hughes Nick Campbell Financial Group/ LPL Financial Mitchell Hurwitz MSH Asset Management Gregory Hutcheson Morgan Stanley Smith Barney Terry Ingram Coble-Cravens Financial Services Dewey Isom Raymond James & Associates Don Jacobson Dean Jacobson Financial Services David Jennings Morgan Stanley Smith Barney Leonard Johnson Wells Fargo Advisors, LLC Doug Jones Lee Financial Corporation Page 17 T. Montgomery Jones FCM Investments Page 13 Sheila Kaplan Merrill Lynch Keith Karnes Wells Fargo Advisors, LLC Thomas Karsten Karsten Advisors Jack Kaye Edward Jones Five Staon Langford Keith Morgan Stanley Smith Barney Paul Kiehn Atherton Kiehn & Byrnes Leslie Killgore Active Wealth Management Valli Kindred Kindred Stephens Financial Group Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-7

8 Kerry Knox Merrill Lynch Ernie Koestner Wells Fargo Advisors, LLC Diane Lacina Southwest Securities Terry Landry Wells Fargo Advisors, LLC Mark Larimore Larimore Financial Group Kristie Leatherberry Charles Schwab & Company John Ledford Morgan Stanley Smith Barney Fredrick Lehman Morgan Stanley Smith Barney John Lemak Sandor Capital Management Neal Logan Edward Jones Joseph Logsdon American National Bank of Texas Page 26 Sid Lorio Lorio Wealth Management Steven Lugar Beaird Harris Wealth Management Dana Lundquist Allstate Financial Services Henry Luskey Morgan Stanley Smith Barney James Madden RBC Wealth Management Larry I. Magid Wells Fargo Advisors, LLC Michael Magruder Wells Fargo Advisors, LLC Thomas Maikowski Thomas H. Maikowski & Associates Charles Manthey Bluechip Financial Planning Brian Marks Merrill Lynch Carolyn Martin Groschup Martin Wealth Management Group Wayne Maynard Merrill Lynch David McBee, Jr. Wells Fargo Advisors, LLC Greg McCoy Wells Fargo Advisors, LLC Justin McDonald Morgan Stanley Smith Barney Kenneth McDonald Bernstein Global Wealth Management Mac McDowell McDowell Capital Management of Raymond James Spencer McGowan McGowanGroup Asset Management Page 19 Matt McKinney Arcon Wealth Management Mark McLeland Merrill Lynch Daniel McPherson McPherson Personal Asset Management WMD-8 August 2012 t e x a s m o n t h l y. c o m Award winners listed by primary services and listed alphabetically by last name. Daniel McVeigh Merrill Lynch David Megarity Wells Fargo Advisors, LLC James Mewhinney Morgan Stanley Smith Barney Susan Meyer Edward Jones Stephen Middlebrook Milkie Ferguson Investments Shott Miller Merrill Lynch Linda C. Mills Mills & Kernan Wealth Management Robert Mitchell Morgan Stanley Smith Barney Anthony Mobly Edward Jones John Mockovciak Robert W. Baird & Company Christopher Moino Morgan Stanley Smith Barney Francis Moise Prospera Financial Services Brian Moore Merrill Lynch Marie Moore Morgan Stanley Smith Barney Mark Morgan Porter Morgan & Associates Wealth Management John Muse LPL Financial Steve Nagel Merrill Lynch Michael Nettleton Morgan Stanley Smith Barney Brant Newman Merrill Lynch Robert Nicholas Wells Fargo Advisors, LLC Jim Nielsen LPL Financial David Noonan Morgan Stanley Smith Barney Page 39 Robert Nursey IVY LEAGUE Retirement Planning Jeffrey Ockwood Morgan Stanley Smith Barney Randy Odom Wells Fargo Advisors, LLC Page 39 Hank O Neill Merrill Lynch Thomas Pace Eagle Strategies Jeff Paladini Karsten Advisors Chris Paladino Milkie Ferguson Investments James Palmer Palmer Retirement Consultants Jason Parker Morgan Stanley Smith Barney W. Donald Parr Merrill Lynch Brian Payne Wells Fargo Advisors, LLC Page 35 Michael Peschel Wells Fargo Advisors, LLC Dan Peters Lee Financial Corporation Page 17 Gordon Peterson International Research & Asset Management Paul Pittman Edward Jones Adam Prewett Prewett Financial George Price Edward Jones Jeffery Price Merrill Lynch Lee Price Smith Anglin Financial Brian Rahlfs Rahlfs Capital Jeff Rasco Rasco & Rasco Page 35 Gerald Ray Gerald L. Ray & Associates Page 28 Joseph Ray Gerald L. Ray & Associates Page 28 Larry Ray Wells Fargo Advisors, LLC John Reagan Wells Fargo Advisors, LLC Micky Reeves JWA Financial Group William Rich Wells Fargo Advisors, LLC Jamie Richardson ViewPoint Investment Group Page 30 Jake Richter Edward Jones Kelly Rigas KR Wealth Management Elizabeth Rivera Southwest Securities Page 22 Ricardo Roberto Edward Jones Bruce Robinson Maplewood Investment Advisors Mark Robinson The Watchman Group Page 35 Guy Rodgers Edward Jones Michael Rodriguez Merrill Lynch Charles Romig Morgan Stanley Smith Barney Page 31 Five Staon Ben Roth J.P. Morgan Securities Peter Ruth Maplewood Investment Advisors Five ofes Cynthia Salles RBC Wealth Management Jeff Sandene Sandene Strategies

9 Jeff Sanders Edward Jones Trey Sartin Wells Fargo Advisors, LLC Craig Saunders Ameriprise Financial Services, Inc. Jeff Schmeltekopf Dean Jacobson Financial Services Paul Schmitz Morgan Stanley Smith Barney James Scott Milestone Wealth Strategies Amber Seale Edward Jones Erik Severson Thrivent Financial for Lutherans James R. Shelton Shelton Financial Group Keith Shelton Wells Fargo Advisors, LLC Page 40 Brian Shepherd Edward Jones Steven Shi Wells Fargo Advisors, LLC Brandon Simmons Ameriprise Financial Services, Inc. Ronald Simmons Retirement Advisors of America James Simpson CUSO Financial Services Frank Sloan Sloan Wealth Management Ralph Smith Ralph Smith Financial Kim Snider Snider Advisors Gunnar Soland SWS Financial Services Richard Sowden Frontier Investment Management Company Beth Sparks Wells Fargo Advisors, LLC Joseph Stack Wells Fargo Advisors, LLC Christi Staib Staib Wealth Management Page 40 L. Dale Stamps Spar Investment Counsel Michael Steinberg Wells Fargo Advisors, LLC Page 40 Chad Stephens Kindred Stephens Financial Group Michael Stillman International Research & Asset Management Scott Strange LPL Financial Cheryl Sutter Wealth Management Group Page 26 Award winners listed by primary services and listed alphabetically by last name. Joel Tannebaum Morgan Stanley Smith Barney William Tenney Morgan Stanley Smith Barney John Thane Merrill Lynch Mark Theriault Wells Fargo Advisors, LLC Bradley Thomas Morgan Stanley Smith Barney Terry Thompkins Wells Fargo Advisors, LLC Paul Thompson Signal Securities Rebecca Thompson BenchMark Financial Services Christopher Troseth Investors Asset Management Shelley Turner Wells Fargo Advisors, LLC Peggy D. Tyler Wells Fargo Advisors, LLC Gail Utter Wells Fargo Advisors, LLC Page 25 Eric VanderDrift MPACT Financial Group John Vann Rushmore Investment Advisors Craig VanWinkle Wells Fargo Advisors, LLC Walter Virden Virden Chapman & Virden Lindsay Vitovsky ARMOR Wealth Management Todd Wagner Comerica Bank Casey Waits Waits Financial Group Bo Walker Merrill Lynch Robert Walker Morgan Stanley Smith Barney Gary Walsh Luther King Capital Management Page 40 Peter Warren Wells Fargo Advisors, LLC Brad Weddle LPL Financial Stephen Wheeler Wells Fargo Advisors, LLC Page 40 Robert Whittenburg Wells Fargo Advisors, LLC Jon Williams Wells Fargo Advisors, LLC Terry Williamson Wells Fargo Advisors, LLC Alex Winslow The Northern Trust Company Mark Witte Wells Fargo Advisors, LLC Daniel Woodard EECU Investment Services Page 40 Larry Wright Morgan Stanley Smith Barney Richard Wright Fiduciary Financial Services of the Southwest Jeanie Wyatt South Texas Money Management Peggy Zarro Wells Fargo Advisors, LLC Bret Zimmerman Zimmerman Investment Money Management Taxation Jack Auldridge AuldridgeGriffin Pat Beaird Beaird Harris Wealth Management Jon Chester M. Sterling/Sterling s Bookkeeping and Tax James Creel Brackett and Ellis William Gary Dunlap Pineider Ford and Associates Lori Eads Bland Garvey Eads Medlock + Deppe Page 37 Graciela Gutierrez Southwest Securities Donald Harris Beaird Harris Wealth Management Walt Hatter Hatter & Associates Lois Kapp Kapp & Miller Alan Levi Alan H. Levi Edward Mercer Burds Reed & Mercer Steven Miller Steven E. Miller Daniel Novakov Greenberg Traurig Carrine Reilly CliftonLarsonAllen Karen Roberton David L. Prince, CPA Lewis Rubinstein Lewis Rubinstein, CPA Ware Shipman Biggs & Shipman Jennifer Sicking Ken Hughes & Associates Mark Snyder Mark G. Snyder Gail Wills Gail D. Wills, CPA D. Dale Wofford D. Dale Wofford Five Staon Five ofes Certified Financial Planner Board of Standards Inc. owns the certification marks CFP, Certified Financial Planner and the federally registered CFP (with flame logo) in the U.S., which it awards to individuals who successfully complete CFP Board s initial and ongoing certification requirements. The Chartered Financial Consultant credential [ChFC ] is a financial planning designation awarded by The American College. t e x a s m o n t h l y. c o m August 2012 WMD-9

10 Mike Reppert WMD-10 August 2012 t e x a s m o n t h l y. c o m Five Staon Five ofes

11 The Spectrum Advisors Team We Manage Wealth With a Caring, Competent and Creative Team Approach Serving our clients best interests for more than 30 years has been the cornerstone of success Recognized as one of the most respected wealth advisory firms in publications and awards Sharing comprehensive advice and creative strategies for clients maximum control and efficiency Titles: Senior Partner, Financial Advisor Credentials: CFP, CSA Our mission is to help clients create, protect and preserve wealth with a caring, competent and creative team approach. We established the firm in 1982 with the philosophy that we wanted to build long-term relationships with people to help them with a significant area of life, their financial management, and advise them with integrity. We believed that if we served them with their best interests in mind and a personal touch, we could develop a successful business. Year after year, these principles have paid off to grow a great group of clients that we love to serve. We have received numerous industry awards, been featured in Forbes, D Magazine and Who s Who, reinforcing that the principles of client first, integrity, vision and diversification would reward us and our clients. Our comprehensive approach along with utilizing cutting-edge strategies and systems allows us to help our clients gain maximum control and efficiency in managing their wealth. Five Staon Spectrum Drive, Suite 115 Addison, TX Addison: (972) Arlington: (817) Securities offered through Kalos Capital, Inc., 3780 Mansell Road, Suite 150, Alpharetta, GA 30022, (678) Mike Reppert is not an affiliate or subsidiary of Kalos Capital, Inc. Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-11

12 WMD-12 August 2012 t e x a s m o n t h l y. c o m Carter Financial Management Team Wealth Management for This Generation and the Next Left to right: Joel Berg, Sue Spellman, Jonathan Meaney, Brandon Ratzlaff, Steve McDonald, Five Star winners Bill Carter and Patty Hammond Founded in 1976 Unmatched professionalism delivered with genuine personal care An endless pursuit to inform and educate clients Specializations: Corporate Executives, Entrepreneurs, Physicians, Attorneys and Retirees Carter Financial Management is an independent firm passionate about the value financial planning and integrated wealth management services bring to our clients. With more than 35 years of experience and overseeing more than $700 million in client wealth in Texas and across the nation, Carter s team and the financial advisors shown above have one simple Carter Financial Management Merit Drive, Suite 1800 Dallas, TX Office: (214) Toll-free: (800) Areas of Focus: Customized Retirement Income and Advanced Financial Planning goal: to improve the quality of our clients financial lives. Known for the thoroughness of our financial planning and investment approach, our personalized client experience and our commitment to client education, Carter continues to invest heavily in our world-class, cohesive wealth management team with the single focus of achieving our clients financial goals. Five Staon Five ofes Carter Financial Management is an independent firm. Securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC.

13 FCM Investments Team T. Montgomery Jones, Managing Partner Left to right: Stephanie Manter, four-year winner Monty Jones, David Lewis and Michael Wu Independent boutique manager serving a limited number of private clients Emphasizing growth stocks on a global basis and quality bonds Tax efficiency in separate accounts; no outside funds utilized Designations: MBA, CFA FCM Investments takes a long-term approach to relationships and investing. Since our founding in 1987, we have focused exclusively on the prudent stewardship of our clients portfolios. Our clients are private investors individuals, families, their FCM Investments 2200 Ross Avenue, Suite 4600 West Dallas, TX Office: (214) Investment management for high-net-worth individuals trusts and private foundations more than three-quarters of whom have relied on FCM to manage their securities for at least a decade. Our chief goals are the preservation and growth of capital through all investment environments. Five Staon Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-13

14 Allen Gibson WMD-14 August 2012 t e x a s m o n t h l y. c o m Working With Clients to Prepare for the Certainty of Uncertainty Left to right: Four-year winner Allen Gibson and three-year winner Merrill Greer We help people plan their lives, not just their finances Multigenerational, fee-based financial planning and wealth management More than 130 years combined experience with offices in Dallas, Tyler and Lufkin Titles: Private Wealth Advisor, Ed Slott Master Elite IRA Advisor, Business Financial Advisor Credentials: CFP, ChFC, CRPC, CLTC It all starts with our team listening to understand what is important to you your goals, your values, your family, your business. Next, we work closely with you to create a personalized, comprehensive financial plan that includes collaborating with internal and external advisors. Then we provide ongoing coaching and monitoring, recommending adjustments whenever necessary. Our goal is to simplify your life and help coordinate all the moving parts, so you can focus on the things that you are passionate about. We make a living by what we get, but we make a life by what we give. Sir Winston Churchilll Five Staon Gibson, Greer & Associates, a financial advisory practice of Ameriprise Financial Services, Inc Village Creek Drive, Suite 2000 Plano, TX Allen: (972) Merrill: (214) [email protected] [email protected] allengibson.com Five ofes Working with this financial advisor is not a guarantee of future financial success. Investors should conduct their own evaluation of a financial professional. Brokerage, investment and financial advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients.

15 Inspire Financial Group Changing the World by Helping Our Clients Realize Their Dreams Left to right: Chad Harris, two-year winner Charles E. King, Chris Conrad, Tana Barker, Clifford I. Nichols, J. Bruce Brennan, two-year winner Tyson King and Brian Hart Excellent service using a team-based approach Constant communication and individual client attention Professionals in wealth accumulation, conservation and distribution True Blue Business Recognized For Commitment to Clients, Employees and Community You know that feeling you get when someone says they will do something by a certain time and they do? Since 1997, we have focused on creating this feeling in our clients. It s simple. We find out what our clients dreams are and then create a plan to help them realize those dreams. We call it the Dream Realization Plan, a customized roadmap of a five-stage journey to financial freedom. Along the way, we passionately serve our clients through monthly communications, quarterly phone calls and yearly reviews. Inspire Financial Group, Inc Spectrum Boulevard, Suite 200 Richardson, TX Phone: (972) Toll-free: (866) [email protected] Saving, protecting and investing assets throughout a lifetime. Five Staon Two-Year Winner Securities Offered Through GWN Securities, Inc., Member FINRA, SIPC. GWN Securities, Inc., N Jog Rd., Palm Beach Gardens, FL 33418, (561) Inspire Financial Group, Inc. is not affiliated with GWN Securities, Inc. Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-15

16 WMD-16 August 2012 t e x a s m o n t h l y. c o m LD Lowe Wealth Advisory Group Partnering With You to Help Fulfill Your Dreams Left to right: Standing: Molly McCarthy, Shane Brewer, Ethan Bonar, three-year winner Lloyd Lowe, Sr. Seated: Cinda Lowe, Hoot and Judy Rupay Providing world-class service A boutique firm with resources in every area of life Fulfilling your dreams by utilizing our training, tenure and track record Titles: Lloyd Lowe, Sr., Owner and Founder Credentials: MBA in Financial Planning, RFC, CRC At LD Lowe Wealth Advisory, we build a bridge to your future. There s no cookie-cutter approach; we do it with investments and plans that are as independent and unique as you are. Whether it is having more time with those you love, retreating to that home in the islands or having the time to master any 4809 Cole Avenue, Suite 330 Dallas, TX Office: (972) Fax: (972) [email protected] LD Lowe Wealth Advisory. A Registered Investment Advisor. Financial Planning, Investment, Estate Planning hobby you choose, your definition of wealth and freedom counts. We invite you to read Lloyd and Ethan s new book, Life s Bridges it is an easy-to-read blueprint to planning for the future. One-hundred percent of the proceeds go to Vogel Alcove. Learn more at Five Staon Five ofes

17 Lee Financial Corporation Celebrating 37 Years As a Fee-Only Financial Advisor Left to right: Standing: Two-year winner Doug Jones, 2012 winner Dan Peters, three-year winner Richie Lee, 2012 winners Eddie Rodriguez and Danny Boyce; Seated: Two-year winner Dusty Wallace, three-year winners Dana Pingenot and Teresa Quinn Fee-only financial planning and wealth management Dedicated advisory team Tailored portfolio construction Since 1975, Lee Financial has helped clients manage the diverse aspects of wealth to cultivate security, success and fulfillment. The firm s process goes beyond advising on financial matters to helping their clients establish personal goals and manage their financial-planning needs and opportunities. LFC offers Merit Drive, Suite 1500 Dallas, TX Office: (972) Fax: (972) [email protected] Areas of Focus: High-Net-Worth Wealth Management Credentials: CFA, CFP, CLU, MBA an experienced team of portfolio managers and in-house analyst to address clients portfolio needs. The firm s access to alternative investments compliments its traditional portfolios, adding an additional level of diversification. Five Staon Different types of investments involve varying degrees of risk. It should not be assumed that future performance of any specific investment or investment strategy, or any non-investment content, will be profitable, equal any corresponding indicated historical performance level(s), be suitable for your portfolio or individual situation, or prove successful. Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-17

18 Chris A. Lewis Client Focused to Help You Succeed WMD-18 August 2012 t e x a s m o n t h l y. c o m Left to right: Claudia Perez Brown, three-year winner Chris A. Lewis and Ty Tran Unbiased financial advice Retirement planning expertise An integrated and comprehensive approach Titles: President, Registered Principal Chris A. Lewis and Claudia Perez Brown bring more than 48 years of combined financial experience. Together, we founded Lewis Brown with one goal: to help families preserve and achieve a financially secure future. Our primary focus is protecting and preserving what matters most to you. This commitment is strengthened by our Areas of Focus: Retirement Planning and Investment Strategies experience and the values we share with our clients. The result is a custom-tailored approach for helping you pursue your near and long-term investment goals. We are honored to have been named Five Star Wealth Managers* for our third year, based on feedback from clients and industry experts West Plano Parkway, Suite 2300 Plano, TX Office: (972) Toll-free: (888) [email protected] Securities and advisory services offered through Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser. *Five Star award recipients were nominated by either their broker/dealer or peers or were prequalified. They satisfied objective eligibility and evaluation criteria associated with providing quality services to clients. The criteria includes: active credentialed financial professional for a minimum of five years, favorable regulatory and complaint history, fulfillment of firm s internal review, accepting new clients, client retention rates, client assets administered, number of client households, education and professional designations. No fee is paid to be included in the research or on the final list. The award is not indicative of the wealth managers future performance. No more than 7 percent of the wealth managers in a market receive the Five Star award. For more information please visit Five Staon Five ofes

19 Spencer McGowan McGowanGroup Asset Management, Inc. Left to right: Dominique Henderson, Bobby Boyce, Kathie McWhorter, two-year winner Spencer McGowan, Sandra Henderson, Vanessa Avila and Alex Tollen Excellence in service Performance tracking Timely advice and counsel Title: President, McGowanGroup Asset Management, Inc. Credential: Certified Investment Management Analyst SM The firm s expertise extends across multiple investment categories: traditional safety in fixed income, high cash-flow strategies and growth with dividends. Investment strategies emphasize generating income today while preserving capital for the future. 200 Crescent Court, Suite 657 Dallas, TX Office: (214) Toll-free: (866) [email protected] MGAM provides cash flow-based investment planning. Five Staon Two-Year Winner The approach begins with an investment planning analysis to understand clients on a more personal level. Every client has a custom investment plan and detailed strategy created to meet their goals. The firm s focus is maximizing client profits while minimizing costs and providing excellent customer service. McGowanGroup Asset Management, Inc. is a Federally Registered Investment Advisory Firm utilizing Pershing LLC, a BNY Mellon Company for asset custody. Securities offered through independent firm, Spire Securities, LLC, a Registered Broker/Dealer and member FINRA/SIPC. Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-19

20 Four-year winner David E. Meadors WMD-20 August 2012 t e x a s m o n t h l y. c o m David has been a financial advisor since 1994 and focuses on comprehensive wealth management strategies for individuals and institutions. He takes the time to help his clients build a life plan, so together, they can develop a supporting investment plan. It is his belief that portfolio structure is just as important as product selection in determining the appropriate asset allocation to meet the client s financial objectives. Client reviews are also an important part of David s process. Our areas of focus are comprehensive wealth management strategies. David E. Meadors Meadors Wealth Management Group at Morgan Stanley Smith Barney It s Not Just Your Money, It s Your Life 7500 Dallas Parkway, Suite 500 Plano, TX Office: (972) Toll-free: (877) [email protected] Morgan Stanley Smith Barney LLC. Member SIPC. Holistic wealth management Personalized client support Retirement, financial and estate planning David E. Meadors, Senior Vice President Wealth Management, Senior Portfolio Director; Beth Hammans, Registered Client Service Associate; Chelsea Tobias, Senior Client Service Associate; Hilary Meadors, Senior Marketing Associate Left to right: Chelsea Tobias, four-year winner David E. Meadors, Hilary Meadors and Beth Hammans Five Staon Five ofes

21 Robert D. Pearson Client Centered, Goal Focused and Planning Driven Five Star award winner Robert Pearson and Bolt Don t try to time the market look to the long term Be an owner, not a loaner stock is ownership, interest comes from loaned money Stay diversified and don t panic fear negates rational decision making Starting with these three financial rules, I help build portfolios. That s simply a tool to help you realize your goals and the portfolio should never be the end in itself. Comprehensive financial planning is my goal, and portfolio management is a primary instrument to that end. Area of Focus: Comprehensive Financial Planning Titles: Senior Vice President, Financial Advisor I am convinced that all successful investing involves constantly acting toward the realization of goals, and all unsuccessful investing is based on reacting to whatever the markets happen to be doing at the moment. This is why my approach is goal focused and planning driven Spring Valley Road Dallas, TX Direct: (972) Toll-free: (877) [email protected] The views expressed herein are those of the author and do not necessarily reflect the views of Morgan Stanley Smith Barney or its affiliates. All opinions are subject to change without notice. Neither the information provided nor any opinion expressed constitutes a solicitation for the purchase or sale of any security. Past performance is no guarantee of future results Morgan Stanley Smith Barney LLC. Member SIPC. Five Staon Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-21

22 Elizabeth Rivera WMD-22 August 2012 t e x a s m o n t h l y. c o m Bridging the Gap Between Experience and Change 29 years of experience in the financial world Helping clients to recognize and accomplish goals Dedicated to clients concerns and needs Titles: Vice President, Financial Advisor My reputation has been built on integrity, personal responsibility and, above all, the belief that clients are top priority. Being involved in the community is also important to me. My board memberships have included Theatre Three, 8333 Douglas Avenue, Suite 400 Dallas, TX Office: (214) [email protected] Southwest Securities, Inc. Member: NYSE/FINRA/SIPC. Areas of Focus: Long- Term Investing in Stocks, Bonds, Mutual Funds and Insurance Inc., TACA Inc., Hearts and Hands Alliance, East Dallas Chamber of Commerce and Addison Chamber of Commerce. I enjoy helping my clients and their families in this changing world. Five Staon Five ofes

23 Craig C. Rogers Collaborative Wealth Management for Affluent Clients Left to right: Standing: Bill Harrell, Bill Rush, Todd Thompson, Matt Lankford, Rick Wilkinson Seated: Dale C. Rogers, four-year winner Craig C. Rogers Expertise: access to the brightest minds in academia and finance Partnership: mutually beneficial relationships where values are aligned Discipline: processes to uncover and achieve the goals of our clients Titles: President, COO Credential: CEFEX (Centre for Fiduciary Excellence) Investment Advisor Certification Through our collaborative wealth management process, we ensure smart decisions are made regardless of market conditions. Investment plans are designed to achieve what is most important and are updated as life changes. In trying to win the losers game and achieve what is most important to our clients, we communicate and measure progress on a regular basis. Client approach: Work closely with clients who share our values. Philosophy: Make a significant impact in our clients lives. Best advice I ever got Do for clients as you d do for your own mother. When I am not at work I m with my family coaching youth sports Summit Avenue Fort Worth, TX Toll-free: (866) Office: (817) [email protected] Rogers Wealth Group is an independent fee-only Registered Investment Advisor. Wealth enhancement, protection and transfer solutions for families Five Staon Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-23

24 WMD-24 August 2012 t e x a s m o n t h l y. c o m The Team at Elite Financial Management Expertise, Experience, Integrity and Independence Left to right: Allison Burdette, Amulet Wang, Courtney Preuit, Tyler Kelly, Matthew Welsh, Jamie Leach and two-year winner William Bill Dendy Comprehensive investment, tax, estate and insurance plan Offers sound, unbiased advisory coupled with superb personal service Steadfast belief in the importance of the client-partnership approach Credentials: JD, MBA, CPA, PFS, CFP, CLU The Elite Financial Management team is educated and experienced, and the quality of the team is what makes us so special, says Five Star award winner William Bill Dendy. Bill has helped people build investment portfolios for more than 20 years and leads a team of advisors with offices in Dallas, Irving and Midland. Dedicated to offering comprehensive services, Bill earned a JD and MBA at Southern Methodist University and has earned Elite Financial Management 5420 LBJ Freeway, Suite 275 Dallas, TX Office: (214) [email protected] Areas of Focus: Financial Planning, Retirement, Income Tax Planning Five Staon Two-Year Winner the CERTIFIED FINANCIAL PLANNER credential, Professional Financial Specialist and Chartered Life Underwriter designations. He teaches classes for financial industry professionals and is a member of Mensa, the high IQ society. Bill is quick to point out that his success is a team effort, and they deserve much of the credit. Elite Financial Management welcomes the opportunity for new clients and offers complimentary first appointments. Five ofes Securities and advisory services offered through LPL Financial. A Registered Investment Advisor. Member FINRA/SIPC.

25 Gail Utter Building Confidence With Insight, Education and Concierge Service Left to right: Standing: Callie Wynn, Jamie Greene and Natalie Brookins Seated: Three-year winner Gail Utter Named to Barron s Top 1,000 Financial Advisors for fourth consecutive year Named to Barron s Top 100 Women Financial Advisors for fourth consecutive year Four-step forecasting model Comprehensive wealth planning begins by listening to you. Once we understand your unique aspirations, we provide you with sound financial options appropriate for your circumstances and your comfort level. With a wide array of objective resources, we offer both a tactical and strategic approach to near and long-term results. Utter Financial Group of Wells Fargo Advisors provides consistent, yet customized Areas of Focus: Retirement Planning, Investment Planning, Tax-Free/Taxable Income Title: Managing Director Investments Credentials: MBA, CRPC communication, believing that informed clients are good decision-makers. Our concierge service earns us rave reviews from those we serve. In addition to Gail Utter, the Utter Financial Group includes Callie Wynn, Financial Advisor, Natalie Brookins, Senior Registered Client Associate and Jamie Greene, Client Associate. Utter Financial Group of Wells Fargo Advisors, LLC 2027 Texoma Parkway Sherman, TX Office: (903) Toll-free: (800) [email protected] Five Staon Rankings for Barron s Top 1,000 Advisors are generally based on data provided by over 4,000 of the nation s most productive advisors. Factors considered: Assets under management, revenues, regulatory record, quality of practice and philanthropic work. Portfolio performance not explicit component. Barron s Top 100 Women Financial Advisors criteria was based on quantitative criteria as well as by examining regulatory records and talking with peers, supervisors, clients and the advisors themselves. Portfolio performance is not a criterion, because most advisors do not have audited track records. Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR ]. Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-25

26 WMD-26 August 2012 t e x a s m o n t h l y. c o m Wealth Management Group Located at the American National Bank of Texas Left to right: Two-year winners Tim Wilson, Cheryl Sutter, Joseph Logsdon; Kathy Howe, two-year winner George Warner; 2012 winner Jennifer George-Smith, Daniel Finch and Jack Tyler Independent consulting and advice More than 130 years of experience Serving north Texas Credentials: AEP, AIFA, CERTIFIED FINANCIAL PLANNER, CEP, CFS, ChFC, CRCP, CTFA, RFC With a commitment to exceptional service, we build lifelong relationships by pursuing a focus on the financial planning process to ensure the advice provided addresses the needs and expectations of our clients. From retirement to business Resources Experience Confidence Five Staon Two-Year Winner succession planning, we have the resources to address your needs. Recognized as a Top 25 Largest Wealth Management Company three years in a row by Dallas Business Journal.* 1010 West Ralph Hall Parkway, Suite 112 Rockwall, TX Office: (214) *Ranked by value assets under management locally as of December 31 st, 2009, 2010 and Securities offered through LPL Financial, Member FINRA/SIPC. Insurance products offered through LPL Financial or its licensed affiliates. Advisory services offered through LPL Financial, a Registered Investment Advisor. Five ofes Not FDIC Insured No Bank Guarantee May Lose Value Not a Deposit Not Insured by Any Federal Government Agency

27 Left to right: Three-year winner Mischelle Copeland, two-year winner Lorie Gebbie and Nicole Horton Thank you to our clients and professionals for making this recognition possible yet again! We are truly humbled by the trust, loyalty and confidence over the years. We have built a reputation on our service. With more than 65 years of combined experience, our team provides institutional asset management and multigenerational wealth management services for individuals, families and businesses. We offer a dedicated team approach, listening to each client s needs to develop personalized and customized investment plans. Our goal is to create lifelong client relationships built on a foundation of trust and client satisfaction. Copeland and Gebbie Providing high-net-worth clients and companies advice to build, maintain, preserve and transition wealth First-class service built upon a foundation of trust Mischelle Copeland, First Vice President Investments Lorie Gebbie, First Vice President Investments Nicole Horton, Financial Advisor 420 Throckmorton Street, Suite 1000 Ft. Worth, TX Preston Road, Suite 300 Dallas, TX Main: (817) Toll-free: (800) Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR ]. Left to right: Kelly Tucker, three-year winners Steve Cotton and Clint Adams Steve Cotton and Clint Adams Relationships Built on Trust Independent, objective advice Tailored investment strategies Highly personalized service Steve Cotton Clint Adams, CERTIFIED FINANCIAL PLANNER Managing Partners, Financial Advisors Cotton-Adams Financial Group provides personal, family and career financial planning services, wealth transfer and investment strategies for individuals and organizations. We focus on our clients' needs first and let that drive us to the right planning and investment strategies. In our practice, managing risk and achieving Preston Road, Suite 620E growth are equally important objectives. Together, we bring 24 years of valuable Dallas, TX experience helping clients pursue their financial goals and dreams. Office: (214) [email protected] [email protected] Securities and Financial Planning offered through LPL Financial, a Registered Investment Advisor. Member FINRA/SIPC. Five Staon Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-27

28 WMD-28 August 2012 t e x a s m o n t h l y. c o m Our Approach: At Beacon Financial Group, we follow a disciplined approach that identifies longterm trends to establish an efficient (less volatile) and effective (preservation and growth oriented) investment strategy. Simply put, we pursue preservation and growth for our clients but not at the expense of unnecessary volatility. We call this approach 4-Dimensional Investing. Stephen A. Engro Our Goal Is to Make Sophisticated Investing Simple! Simplify the complexities of investing 4-Dimensional Investing approach o Two-Year Winner MBA, Duke University B.A., University of Notre Dame Preston Road, Suite 120 Dallas, TX Toll-free: (800) Office: (972) [email protected] Securities offered through NFP Securities, Inc. (NFPSI), member FINRA/SIPC. Investment Advisory Services offered through NFPSI or Beacon Financial Group. Beacon Financial Group and NFPSI are affiliated. Neither firm is affiliated with. Left to right: Seated: Five Star award winners Gerald L. Ray and Joseph H. Ray; Standing: Michael R. Beck and Michael H. Kane Gerald L. Ray & Associates, Ltd. is a registered investment advisory firm* located in Dallas, Texas. We specialize in managing money for individuals, families and institutions. We also provide 401(k) and bookkeeping services. We take a longterm view of the market and work with our clients to maximize their investment opportunities. Our mission is to build and protect the wealth of our clientele by combining unmatched personal service with proven investment strategies. *Registration does not imply a certain level of skill or training. Gerald L. Ray & Associates, Ltd. Investment Advisors Building Wealth One Portfolio at a Time Investment management since (k) and bookkeeping services Customized portfolios Titles: Gerald L. Ray, CFA, Founder and Chairman; Joseph Ray, President; Michael Beck, Executive Vice President; Michael Kane, CFA, Executive Vice President Gerald L. Ray & Associates, Ltd Ross Avenue, Suite 5600 Dallas, TX Phone: (214) [email protected] Five Staon Five ofes

29 Left to right: Dave Ragan, two-year winner Ricky Grunden, Ashley Smith Grunden Financial Advisory, Inc. is a wealth management firm dedicated to helping our clients maintain the life they want to live. Our goal is straightforward: to deeply understand our clients, then provide well-thought-out financial solutions in a simple and understandable way. From our office in Denton, Texas, we are proud to serve discerning clients in the DFW area and beyond. Areas of focus: wealth management, financial planning, investment management. We take the responsibility of managing our clients life savings very seriously, and therefore our sole focus is investment management. We believe that only firms that are 100-percent devoted to the investment markets will be able to prosper in today s increasingly complex global markets. We diversify client portfolios using traditional asset classes such as stocks and bonds as well as less-correlated alternative asset classes such as gold, currencies, real estate and commodities. We believe this is essential, because the foundations of the existing international monetary system are shifting under the strain of the global sovereign debt crisis. Grunden Financial Advisory Team Common Sense. Uncommon Insight. (And a Lot of Fun.) Exemplary personal service Held to a higher standard of care Advanced planning beyond investments o Two-Year Winner Ricky, CFP, Accredited Fiduciary Dave, CFP, Adjunct Professor 2516 Lillian Miller, Suite 110 Denton, TX Phone: (940) Toll-free: (877) [email protected] Grunden Financial Advisory, Inc. is an independent Registered Investment Advisor (RIA) with the Securities and Exchange Commission (SEC). Please refer to the introduction section for important information on the selection process. All investments involve risk, and past results are no indication of future performance. Gary N. Holland Investment Strategies for Today's Changing World The client always comes first Independent, unbiased advice Traditional and alternative asset strategies B.S. in Economics, The Wharton School of Finance, 1980 Chase Manhattan Bank, Credit Analyst Program, Main Street, Suite 202 Fort Worth, TX Office: (817) Toll-free: (866) [email protected] Five Staon Holland Investment Management is a Registered Investment Adviser. Advisory services are only offered to clients or prospective clients where Holland Investment Management and its representatives are properly licensed or exempt from licensure. Past performance is no guarantee of future returns. Investing involves risk. Securities offered through LPL Financial, Member FINRA/SIPC. Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-29

30 WMD-30 August 2012 t e x a s m o n t h l y. c o m Thank you again to my fellow financial professionals who made this recognition possible. It is an incredible and humbling honor to be among the top four percent of north Texas wealth managers for the fourth consecutive year. I measure my success solely by the satisfaction of those I serve. I am honored to help my clients through their personal and professional financial endeavors, and I look forward to continued success with them in the future. Randy M. Matthews A Foundation of Trust Comprehensive investment strategies Solutions tailored to specific needs Advice free from corporate agendas Titles: President, Managing Principal Credentials: CRPC, MBA Securities and Advisory services offered through LPL Financial, a Registered Investment Advisor. Member FINRA/SIPC North Central Expressway, Suite 1000 Dallas, TX Office: (214) [email protected] Jamie Richardson Trusted Advice Exceptional Service Comprehensive wealth management Independent, unbiased and objective advice Risk management and tax-savings strategies Areas of Focus: Business Owners, Retirees, Executives and Physicians Credential: Chartered Retirement Planning Counselor SM As a client of Jamie s, you can be sure his concern is your financial well-being. As a registered Raymond James advisor with ViewPoint Investment Group, he has the freedom to make recommendations based solely on your specific needs and provides you access to the full resources and expertise of a highly respected Raymond James Financial Services, Inc. financial services firm West 15 th Street, Suite 400 Plano, TX Office: (972) [email protected] viewpointbank.com/invest Securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC, an independent broker/dealer, and are not insured by bank insurance, the FDIC or any other government agency, are not deposits or obligations of the bank, are not guaranteed by the bank and are subject to risks, including the possible loss of principal. ViewPoint Investment Group and ViewPoint Bank are independent of Raymond James Financial Services, Inc. Five Staon Five ofes

31 Left to right: Ellen Daniel, four-year winner Charles Romig, T. Ray Baker and Sonya Prince Charles "Chip" Romig formed the Blackshear Group at Morgan Stanley Smith Barney to assist clients in diversifying their assets to meet their long-term goals. Bonds, stocks and real estate are all major considerations in forming a client's asset allocation. T. Ray Baker, Branch Manager, said, "We are proud that Chip is one of approximately 130 consecutive four-year Five Star winners out of more than 20,000 wealth managers in the DFW complex." 2012 Morgan Stanley Smith Barney LLC. Member SIPC. Saunders & Associates provides comprehensive financial life-planning services by interacting with clients to define their goals, objectives, values and risk tolerance. We are able to implement unbiased investment recommendations based upon the integrity and objectivity that comes from having a written financial plan that is absent of proprietary product recommendations. For more information about our services, please visit our website. Charles Romig Addressing Your Needs 24 years in the business Portfolio manager Great customer service Charles Romig, Senior Vice President Investments, Financial Advisor, Financial Planning Specialist; Ellen Daniel, Sr. Registered Associate; T. Ray Baker, Branch Manager; Sonya Prince, Sr. Client Service Associate 7500 Dallas Parkway, Suite 500 Plano, TX Office: (972) [email protected] Barbara Saunders Stepping Clients Toward Financial Freedom More than 27 years of experience Comprehensive financial planning Customized investment strategies Security and Advisory services offered through LPL Financial, Member FINRA/SIPC. Areas of Focus: Financial Planning and Wealth Management Credential: CERTIFIED FINANCIAL PLANNER Saunders & Associates 2281 Olympia Drive, Suite 100 Flower Mound, TX Office: (972) [email protected] Five Staon Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-31

32 Left to right: Four-year winner Eric Wolfe, 2012 winner James Lehman, 2012 winner Clint Wammack WMD-32 August 2012 t e x a s m o n t h l y. c o m Left to right: Brandon W. Garrett, four-year winner Wayne Garrett, Gary D. Snow Snow Garrett Wealth Management is a full-service financial and investment management firm with clients throughout Texas and several other states. As independent financial advisors with LPL Financial, Snow Garrett Wealth Management offers clients access to an assortment of unbiased, quality, nonproprietary investment strategies and provides a total holistic financialplanning process. Five Star award winners: 2009, 2010, 2011 and 2012 winner Eric E. Wolfe, CFP, ChFC, CLU winner James A. Lehman, CRPC, AAMS winner Clint W. Wammack, CFP, CRPC. As Ameriprise Financial advisors, we ll work with you to find the solutions to help manage your growing financial complexity. Snow Garrett Wealth Management Team You Have a Future With Us! More than 30 years' experience Comprehensive financial planning Customized investment strategies Titles: Wealth Advisors Credentials: CFP, CPA, PFS 1207 Santa Fe Drive Weatherford, TX Phone: (817) [email protected] Securities, Financial Planning and Advisory Services offered through LPL Financial, a Registered Investment Advisor. Member: FINRA/SIPC. Eric Wolfe, James Lehman, Clint Wammack Committed Care With Quality Advice Comprehensive financial planning approach Retirement income strategies Estate and wealth protection planning strategies Wolfe, Lehman, Wammack & Associates, a financial advisory practice of Ameriprise Financial Services, Inc. 305B W Spring Creek Pkwy., Ste. 300 Plano, TX Office: (972) [email protected] ameripriseadvisors.com/eric.e.wolfe [email protected] ameripriseadvisors.com/james.a.lehman [email protected] ameripriseadvisors.com/clint.w.wammack Five Staon Five ofes Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Brokerage, investment and financial advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients.

33 Michelle Berry 920 Whitehead Dr. Granbury, TX Office: (817) Toll-free: (800) Educate Guide Counsel Service Comprehensive wealth management Personalized lifetime income planning Providing quality financial planning since 1997 Credential: CERTIFIED FINANCIAL PLANNER Financial Planning, Legacy Planning and Investment Management We use a comprehensive, consultative process that uncovers investors' specific needs, goals, dreams and objectives, and integrates them into their complete financial plan. Along the way, we will work with a network of professional advisors to help our clients make informed decisions that will help them achieve everything that is most important to them. Securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Frances Gardner Armor Wealth Management Preston Rd. Dallas, TX Phone: (972) , Ext. 208 [email protected] Unlock Your Life s Possibilities Unique planning approach Diversified financial services Customized solutions to meet your goals Specializing in comprehensive retirement planning Credentials: CFP, CDFA, CFEd My unique life-cycle planning approach assures clients that my firm will be with them throughout their lives to address their changing financial needs. Registered representative of and securities and investment advisory services offered through Hornor, Townsend & Kent, Inc. (HTK), Registered Investment Advisor, Member FINRA/SIPC. Armor Wealth Management is independent of HTK Dallas Parkway, Suite 850, Addison, TX 75001, (469) A2RB E2 Chartered Financial Consultant Charted Advisor for Senior Living Chartered Life Underwriter Christopher C. Fess Fess Financial 2595 Dallas Pkwy., Ste. 100-A Frisco, TX Office: (972) Toll-free: (888) Strategic Retirement Planning Fess Financial s primary goal is to assist people 50 and older in accomplishing their retirement income goals. Working with clients in face-to-face "retirement strategy sessions" really does make a difference. Together, every aspect of retirement finances are reviewed and optimized. This provides the best opportunity for clients to achieve some of the greatest retirement dreams possible. Securities and Investment Advisory Services offered through KCD Financial, Inc. Member FINRA and SIPC. Pamela S. Gothard Wells Fargo Advisors, LLC Generations of long-term relationships Thoughtful guidance and superior service Unbiased and objective advice First Vice President Investments 8115 Preston Rd., Ste. 300 Dallas, TX Office: (214) Toll-free: (800) [email protected] home.wellsfargoadvisors.com/pamelagothard Focused on Your Financial Health Two-Year Winner Five Staon Two-Year Five Star Winner Profes I am honored to have been selected for this award for the second year in a row. It is a blessing to have had the opportunity to make a difference in the lives of my clients and their families for more than 31 years. Helping them to achieve their financial goals, guiding them through the many changes that life brings and helping them secure long-term financial independence gives me great satisfaction in life. Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR ]. t e x a s m o n t h l y. c o m August 2012 WMD-33

34 CERTIFIED FINANCIAL PLANNER WMD-34 August 2012 t e x a s m o n t h l y. c o m Robert L. Hrnicek Noel Rd., Ste Dallas, TX Office: (972) Toll-free: (800) [email protected] Simplifying Your Financial Life Do you need help planning for retirement? Retired and needing help planning your income? How about funding your family s education? Titles: Vice President, Financial Advisor Credential: CERTIFIED FINANCIAL PLANNER I focus on keeping things clear and simple, so you ll understand exactly what we re doing to plan for your financial future. If you re like many of my clients, you re trying to do the right things financially for yourself and your family, but you may not have the time or interest to monitor markets and adjust your portfolio. I pride myself on making a difference in the lives of my clients by helping them fulfill their most important financial goals Morgan Stanley Smith Barney LLC. Member SIPC. David P. James 100 Ave. A Palestine, TX Office: (903) [email protected] Honesty Integrity Knowledge Accredited Investment Fiduciary Registered Financial Principal Focus: Comprehensive Wealth and Financial Planning Designations: CFP, AIF We thank our clients, peers and for this unique recognition. At James Financial Group, we strive to build genuine relationships with our select number of high-net-worth clients. Our focus is on building time-tested plans, implementing the plans and monitoring the results with exceptional, personalized attention and service. Securities and Financial Planning offered through LPL Financial, A Registered Investment Advisor, Member FINRA/SIPC. Les Jackson Jackson Investment Associates 6635 La Cosa Dr. Dallas, TX Office: (972) Fax: (972) [email protected] Trusted Experienced Advisor Wealth accumulation and protection 401(k) rollovers, IRAs Expertise in maximizing retirement income Title: President Credentials: IAR, RR I have been managing money and offering insurance products for more than 27 years. My experience in investment products and insurance products including auto, home, health and life, allows me to offer my clients a comprehensive and convenient solution to all their financial needs. I am honored to be named a Five Star Wealth Manager, and I would like to sincerely thank my clients for their continued trust and confidence. Securities and Advisory services offered through SWS Financial Services, Inc Elm Street, Suite 3500, Dallas, TX (800) Member: FINRA and SIPC. Jan Mohamed 5210 McKinney Ave., 3 rd Fl. Dallas, TX Phone: (214) [email protected] Live for Today Plan for Tomorrow Leadership through unique proprietary processes Relationships that last a lifetime Creative income and estate tax strategies Areas of Focus: Estate Planning and Wealth Management Credentials: CERTIFIED FINANCIAL PLANNER, ChFC, CLU, AEP The decisions you make today shape your future and the future of your family. Those decisions should be informed and thoughtful your deepest dreams realized. Our process, starting with the Family Wealth Diagnostic, is designed to keep you fully engaged in the experience and satisfied with the results. Securities and investment advisory services offered through Brokers International Financial Services, LLC, Panora, Iowa. Member FINRA/SIPC. Brokers International Financial Services, LLC and ConfidentVision are not affiliated companies. Two-Year Winner Five Staon Five ofes

35 Brian K. Payne Noel Rd., Ste Dallas, TX Office: (972) Cell: (972) home.wellsfargoadvisors.com/brian.payne Personalized Investment Management More than 20 years of experience Multigenerational investment planning Catering to high-net-worth families Titles: Assistant Branch Manager, Vice President Investments Credential: 2012 WFA Premier Advisor I am honored to have been chosen as a Five Star Wealth Manager. Throughout my 20-year career, I have enjoyed working closely with my clients in the design, implementation and ongoing assessment of their personalized investment plan. Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR ]. The Premier Advisors designation is held by a select group of Financial Advisors within Wells Fargo Advisors and reflects a high level of professional achievement based on many factors including production. Mark Robinson The Watchman Group 5045 Lorimar Dr., Ste. 200 Plano, TX Phone: (469) [email protected] Sensible Approach. Independent Advice. Operates under a fiduciary standard of care Customized investment portfolios Independent, unbiased and objective advice Areas of Focus: Investment Management and Retirement Planning For the past 18 years, Mark has worked to educate his clients about the investment and retirement plan process. Using a disciplined and high-quality approach, every portfolio is built to suit each client s goals while closely monitoring the balance between risk and return. As an independent Registered Investment Advisor with fiduciary responsibilities, loyalty and professionalism are at the core of his business. The Watchman Group, Inc. is a fee-only SEC-Registered Investment Advisor. Jeff Rasco Rasco & Rasco, P.C. 112 SW Thomas St., Ste. 100 Burleson, TX Office: (817) [email protected] Golden-Rule Financial Advice Helping minimize taxes and preserve wealth Building strategies to produce income Providing financial coaching CPA, Registered Representative, BBA Baylor Member AICPA and TSCPA Trusted financial services combined with tax expertise. Jeff Rasco, Registered Representative, Securities offered through H.D. Vest Investment Services SM, Member SIPC, 6333 North State Highway 161, Fourth Floor, Irving, TX 75038, (972) Rasco & Rasco, P.C. is not a registered broker/dealer or independent investment advisory firm. Robert A. Silvestri 5001 Spring Valley Rd., Ste. 900 W Dallas, TX Direct: (972) Toll-free: (800) [email protected] Two-Year Winner fa.morganstanleyindividual.com/robert.silvestri Providing a Comprehensive Strategy Detailed financial planning Preservation of wealth Dedicated to client satisfaction Titles: Vice President, Financial Advisor Five Star award winner from As your financial advisor, I can help you define and strive to meet your goals. By delivering a detailed financial analysis of your current situation, we can create a portfolio that will match your risk tolerances and, at the same time, help you achieve your dreams. I will provide the most seasoned investment professionals on a premier execution platform and a full spectrum of investment choices. Five Staon 2012 Morgan Stanley Smith Barney LLC. Member SIPC. Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-35

36 WMD-36 August 2012 t e x a s m o n t h l y. c o m W. Philip Smiley 1401 Precinct Line Rd. Hurst, TX Office: (817) Toll-free: (877) [email protected] ameripriseadvisors.com/william.p.smiley Wholistic Planning Comprehensive financial planning and advice Retirement planning Retirement income solutions Titles: Financial Advisor, Chartered Retirement Planning Counselor SM Nineteen years of experience Dreams don't just happen. They take planning. Since 1994, my team and I have helped our clients achieve their goals and dreams by the development of a comprehensive financial plan and the ongoing tracking of their progress, maneuvering through the "speed bumps" life presents. We call our unique process: Dream > Plan > Track >. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Brokerage, investment and financial advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients Ameriprise Financial, Inc., All rights reserved ACMR0612. Eric J. Vincent 1650 S FM 51, Ste Decatur, TX Toll-free: (800) Office: (940) [email protected] Client portfolio management Asset diversification/protection strategies Wealth accumulation strategies LPL Registered Principal, LPL Financial Advisor Wealth Management/Accumulation From retirement planning to wealth accumulation, the enormous amount of information available to investors today means the big picture can be a bit overwhelming. My goal is to assist clients in achieving financial confidence, so they can focus on things that give their life true meaning and purpose. As an independent wealth advisor, I can help bring your investment goals into focus and design a portfolio to help meet your financial needs, now and in the future. Securities and Advisory Services offered through LPL Financial, a Registered Investment Advisor. Member FINRA/SIPC. Solid, Dependable Financial Advice Mark S. Stegman 3333 Premier Dr., Ste. 100 Plano, TX Direct: (972) [email protected] ameripriseadvisors.com/mark.s.stegman Financial Advice Aligned With Client Objectives Disciplined approach to financial planning Personalized and ongoing client service Strategic and comprehensive solutions Title: Financial Advisor Credential: CFP I believe success should be measured not just by your financial wellbeing, but by how confident you feel about your future. My mission is to help you reach your financial goals through a personal relationship based on knowledgeable advice tailored to your individual needs. My efforts are designed to support you achieving your goals and to help give you confidence regarding your financial future. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Brokerage, investment and financial advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients. Norman C. Williams 312 Harwood Rd. Bedford, TX Phone: (817) [email protected] Estate and Financial Planning Annuities and long-term care insurance Rollovers for IRAs and other retirement plans Tax-free retirement planning Titles: President, Owner Credentials: CSA, SRES I've developed many long-term relationships with my clients, built on honesty, integrity and trust. That will always be my goal! Titles: Licensed Insurance Agent, Registered Financial Consultant, Certified Annuity Advisor, Member of the Better Business Bureau, Member of the Texas PTA, Member of the National Ethics Bureau, Paralegal, Licensed Real Estate Broker and Mortgage Broker. Five Staon Five ofes

37 Marvin Allensworth 222 W Las Colinas Blvd., Ste. 845E Irving, TX Phone: (866) Marvin.Allensworth@ Thrivent.com David Diesslin Diesslin & Associates, Inc. 303 Main St., Ste. 200 Fort Worth, TX Phone: (817) [email protected] CFP, MBA A nationally recognized fee-only advisor. He enjoys helping clients deal with their opportunities and challenges. Ricky Lee Bingham RLBingham Financial Group An Office of MetLife 6850 Manhattan Blvd., Ste. 100 Fort Worth, TX Phone: (817) [email protected] Sr. Financial Services Executive, Financial Advisor Ricky specializes in helping clients protect and grow their assets, so they can maintain a comfortable, secure lifestyle in retirement. His approach includes defining your personal goals and developing a strategy to help you achieve those goals. Securities and investment advisory services offered by MetLife Securities Inc., (MSI) (member FINRA/SIPC), a registered investment advisor. Metropolitan Life Insurance Company (MLIC), New York, NY. MSI and MLIC are MetLife companies. L [exp 0713][TX]. o Two-Year Winner My goal as a managing partner and employee of Thrivent Financial for 23 years is to support communities by helping people be wise with their money and to inspire them to live generously. Securities and investment advisory services are offered through Thrivent Investment Management Inc., 625 Fourth Ave. S, Minneapolis, MN 55415, a FINRA and SIPC member and a wholly owned subsidiary of Thrivent Financial for Lutherans. For additional important disclosure information, please visit thrivent.com/disclosures Grover C. Brillhart II Preston Rd., Ste. 175 Dallas, TX Office: (972) , Ext. 217 Cell: (214) [email protected] Grover Brillhart is associated with ARMOR Wealth Management, located in north Dallas. He has been actively involved as a financial advisor for more than 15 years, his church for more than 25 years and local school district for 17 years. Registered Representative of, and Securities and Investment Advisory Services offered through, Hornor, Townsend & Kent, Inc., a Registered Investment Advisor, Member FINRA/SIPC. ARMOR Wealth Management is independent of Hornor Townsend & Kent, Inc. Headquarters: Dallas Pkwy., Ste. 850, Addison, TX 75001, A2RB E2. Bradley S. Burnfield 5409 Acton Hwy., Ste. 100 Granbury, TX Office: (817) [email protected] CFP, ChFC, Financial Advisor A relationship for real life, providing personalized advice, professional service and the investment guidance that successful Americans desire. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Ameriprise Financial Services, Inc., Member FINRA and SIPC. Mark K. Duckworth 5001 Spring Valley Rd., Ste. 900 W Dallas, TX Direct: (972) Toll-free: (800) [email protected] Financial Advisor Mark takes great pride in helping his clients with their unique retirement, investment and financial planning goals, utilizing a clientfocused/value-driven approach where trust is at the center of all relationships. Visit www. morganstanley.com/fa/mark.duckworth for more information Morgan Stanley Smith Barney LLC. Member SIPC. Jason A. Bottenfield 5950 Berkshire Ln., Ste. 600 Dallas, TX Office: (214) [email protected] fa.smithbarney.com/parkcitiesgroup CERTIFIED FINANCIAL PLANNER, Financial Advisor Jason works specifically with individuals who are experiencing a financial transition due to employment issues or divorce. Whether sudden or planned, Jason establishes a financial plan of action and implements that plan using his background as a CFP professional Morgan Stanley Smith Barney LLC. Member SIPC. Raymond Clark 260 N Denton Tap Rd., Ste. 270 Coppell, TX Office: (972) [email protected] Financial Advisor, CERTIFIED FINANCIAL PLANNER practitioner I help clients identify and reach their dreams, while protecting their loved ones from the rainy days that occur in everyone s lives. I focus on how planning and investing can help you bring your dreams and goals more within reach. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Ameriprise Financial Services, Inc., Member FINRA and SIPC ACMR0612. Lori Eads BGEM+D 1202 Richardson Dr., Ste. 203 Richardson, TX Office: (972) [email protected] Shareholder Five Staon Five ofes Two-Year Winner BGEM+D is committed to helping you achieve your financial plan, with your goals in mind. The tax ramifications of every decision are considered, because we are a CPA firm. Estate and tax planning are an integral part of the plan, not an afterthought. Bland Garvey Eads Medlock + Deppe, P.C. is a Certified Public Accounting firm licensed to practice in Texas. t e x a s m o n t h l y. c o m August 2012 WMD-37

38 JoAnn M. Eubank 1401 Precinct Line Dr. Hurst, TX Phone: (817) ameripriseadvisors.com/joann.m.eubank Credentials: CFP, CDFA My approach: as an Ameriprise financial advisor, I believe success should be measured not just by your financial well-being, but by how confident you feel about your future. My mission is to help you reach your financial goals through a personal relationship. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Ameriprise Financial Services, Inc., Member FINRA and SIPC. Justin Farris 7557 Rambler Rd., Ste. 445 Dallas, TX Direct: (214) [email protected] Credential: CFP As an independent wealth management firm, we offer clients the benefits of true open architecture, providing access to a wide range of solutions. Find out how we are different from your current advisor by visiting us at Advisor Representatives are Registered Representatives and offer securities through Securities America, Inc. Member FINRA/SIPC. Planning and Advisory Services available through Securities America Advisors, Inc. The Farris Group and its affiliates are independent of Securities America Companies. WMD-38 August 2012 t e x a s m o n t h l y. c o m Andy Evans 2400 Dallas Pkwy., Ste. 100 Plano, TX Office: (972) Cell: (214) [email protected] Vice President Investments For more than 20 years, I have worked with families to design a financial roadmap in an effort to realize their individual goals. My goal is to provide excellent service and knowledgeable advice based on each client s particular needs. Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR ]. Deborah Federick 1308 Village Creek Pkwy., Ste Plano, TX Phone: (469) [email protected] ameripriseadvisors.com/ deborah.t.federick Financial Advisor Deborah Federick, CRPC, works with families who recognize that a financial plan is part of a well-ordered life. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Ameriprise Financial Services, Inc., Member FINRA and SIPC. Joe B. Foster Preston Rd., Ste. 260 Dallas, TX Phone: (972) [email protected] Credential: CFP Investment management, retirement income planning and legacy planning since Area of focus: wealth management. Joe B. Foster is an Investment Advisor Representative. Securities and investment advisory services offered through Ameritas Investment Corp. (AIC), member FINRA/SIPC, Foster Financial Group and AIC are not affiliated. Securities [email protected]. Two-Year Winner Two-Year Winner Nicholas Giorgio 950 E Hwy. 114, Ste. 100 Southlake, TX Direct: (817) Cell: (214) [email protected] ameripriseadvisors.com/nicholas.giorgio Financial Advisor I believe success should be measured not just by today's financial well-being, but by how confident you feel about your future. That is why I work with clients to plan for a confident retirement that aligns with their personal goals and dreams. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Ameriprise Financial Services, Inc., Member FINRA and SIPC Ameriprise Financial, Inc., All rights reserved. Barton F. Gunter LPL Financial 4975 Preston Park Blvd., Ste. 400 Plano, TX Office: (972) Cell: (214) [email protected] Credentials: CFP, CLU, AEP, MSFS Bart customizes comprehensive wealth management strategies for individuals, executives and small-business owners. These strategies address investments, retirement, risk management, estate and legacy planning, business succession and executive benefits. Securities offered through LPL Financial, Member FINRA/SIPC. N. Rocky Farr Diesslin & Associates, Inc. 303 Main St., Ste. 200 Fort Worth, TX [email protected] CFP, EA, ATA Rocky has 30-plus years of experience with high-net-worth clients and small practices, with extensive knowledge in income tax and estate structuring. Carol J. Harper 7557 Rambler Rd., Ste. 906 Dallas, TX Direct: (972) [email protected] ameripriseadvisors.com/carol.j.harper Financial Advisor, Vice President, CRPC I help each of my clients develop a strategy tailored to their unique needs and goals to help simplify their financial lives. My focus is on making clients' money work as hard for them as they worked for it. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Ameriprise Financial Services, Inc., Member FINRA and SIPC. Five Staon Five ofes

39 Lora J. Hoff N Central Expy., Ste Dallas, TX Office: (214) [email protected] Wealth Manager, CERTIFIED FINANCIAL PLANNER Fee-based financial planning / wealth and risk management / tax and investment strategies / employee benefits / business and succession planning / estate and trust planning / domestic and international asset protection / legacy preservation, philanthropy and charitable planning. Securities and Advice offered through Investment Planners, Inc. (Member NASD/SIPC) and IPI Asset Management, Inc., 226 West Eldorado Street, Decatur, IL Stacy C. Notley THE MANNING GROUP, INC. P.O. Box Dallas, TX Phone: (972) Toll-free: (888) [email protected] manning-group.com Since no one is immune from a layoff, a transfer, a downturn in the economy, a serious illness, death in the family or other life-changing event, no one is immune from credit problems, debt and financial concerns, sometime now or in the near future. We specialize in credit and debt management for affluent individuals. Don t leave great credit/credit scores to chance leave it to us! We measure by results, not promises! Betty Poage 1612 Summit Ave., Ste. 410 Fort Worth, TX Office: (817) Direct: (817) [email protected] ameripriseadvisors.com/betty.j.poage Financial Advisor I focus on understanding where my clients want to go in life and what they want to achieve; building lasting, meaningful relationships based on trust, integrity and with a holistic approach to wealth management. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Ameriprise Financial Services, Inc., Member FINRA and SIPC Ameriprise Financial, Inc., All rights reserved ACMR0612. Timothy H. Mebane 990 N Walnut Creek Dr., Ste Mansfield, TX Office: (817) , Ext. 205 Cell: (817) [email protected] LPL Registered Principal I am Tim Mebane, a Sr. Financial Consultant, registered since I follow Bill Bachrach by helping clients with their "Aliveness" goals, asking, "What's important about money to you?" I believe you've worked your whole life for your assets, and you've hired me to help protect them. I will care about you! Securities offered through LPL Financial. Member FINRA/SIPC. Randy T. Odom 201 Main St., Ste Fort Worth, TX Direct: (817) [email protected] First Vice President Investments, Fundamental Choice Portfolio Manager, Financial Advisor Retirement transition, income strategies and professional portfolio management. Twenty-five years experience as a trusted advisor. Live your life on your own terms, with the proper planning and execution. Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR ]. Two-Year Winner Two-Year Winner Two-Year Winner Five Staon Mark C. Seebeck Seebeck & Associates 753 Lonesome Dove Trl. Hurst, TX Phone: (817) Credential: CFP Whether you are in the early stages of a successful career or reaping the rewards of hard work, we will work with you to address your goals and concerns. Thanks to our loyal clients for the privilege of sharing in your journey. Mark Seebeck offers securities through AXA Advisors, LLC (NY, NY ), member FINRA, SIPC. Annuity and insurance products offered in Texas through AXA Network Insurance Agency of Texas, Inc. Seebeck & Associates is not owned or operated by AXA Advisors or AXA Network. AGE (05/12). David R. Noonan Noel Rd., 18 th Fl. Dallas, TX Direct: (972) [email protected] Titles: Senior Vice President Financial Advisor My mission is dedicated to building and preserving wealth for my clients. Clients financial goals are achieved by understanding their unique needs, providing superior service and offering quality, creative and individually tailored investment strategies Morgan Stanley Smith Barney LLC. Member SIPC. Lisa Rapfogel Ostroff Allegiant Wealth Management N Central Expy., Ste Dallas, TX Direct: (972) Office : (972) [email protected] allegiantwealthmanagement.com CERTIFIED FINANCIAL PLANNER At Allegiant Wealth Management, our passion is to understand our clients' dreams for a secure financial future and guide them in making those dreams their reality. We appreciate our clients' continued confidence and their trust in us for more than nearly 20 years. Lisa Rapfogel Ostroff is a registered representative of and offers securities, investment advisory and financial planning services through MML Investors Services, LLC. A. Michael Sheff 7500 Dallas Pkwy., Ste. 500 Plano, TX Phone: (972) Toll-free : (800) [email protected] Senior Vice President I have extensive experience as a financial advisor. I understand that the first step in reaching your goals is finding the right person to help you achieve them Morgan Stanley Smith Barney LLC. Member SIPC. Five ofes t e x a s m o n t h l y. c o m August 2012 WMD-39

40 Two-Year Winner Two-Year Winner Five Staon Five ofes Two-Year Star Winner Pr Keith Shelton 201 Main St., Ste. 403 Fort Worth, TX Phone: (817) Titles: Sr. Vice President Investements, Sr. Financial Advisor Investment management and retirement planning. Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR /12]. Investment and Insurance Products. Not FDIC-Insured NO Bank Guarantee MAY Lose Value Richard W. Stevens 777 Main St., Ste. 600 Fort Worth, TX Office: (817) Title: President Stevens Financial Group is an independent financial services organization with advisors throughout Texas. We help clients create wealth, preserve wealth and protect it for their families. Registered Representative of and securities offered through OneAmerica Securities, Inc., Member FINRA, SIPC, a Registered Investment Advisor. Insurance Representative of American United Life Insurance Company (AUL) and other insurance companies. Stevens Financial Group is not an affiliate of OneAmerica Securities or AUL and is not a broker dealer. Dexter Ward Wealth Management Specialist 309 W Woodard St. Denison, TX Phone: (800) [email protected] Credentials: CFP, CPA/PFS For more than 17 years, Dexter has helped people plan their financial future and today heads a team of advisors with offices in Plano and Denison, Texas. He believes in building lifelong relationships and a long-term approach to personalized investment strategies. Securities offered through H.D. Vest Investment Services SM, Member SIPC. Advisory Services offered through H.D. Vest Advisory Services SM. WMD-40 August 2012 t e x a s m o n t h l y. c o m Christi Staib Staib Wealth Management Preston Rd., Ste. 800 Dallas, TX Phone: (972) Cell: (214) [email protected] Credentials: CRPC, MBA I work toward building and protecting your financial position, helping to simplify your decisions and be accountable to you. I work hard, keep my word and live up to my promises Winners Circle, 2008 Executives Club, Five Star Wealth Manager. Securities offered through LPL Financial, Member FINRA/SIPC. Success requires patience, discipline and diligence. Five Star award winner Stephen L. Wheeler 201 Main St., Ste Fort Worth, TX Office: (817) stephen.wheeler@ wellsfargoadvisors.com Associate Vice President Investment Officer, MBA Contact my team to schedule a confidential meeting to discuss how an Envision plan can help you plan more effectively, bring new clarity to your life goals and enhance your confidence in your ability to achieve them. Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR ]. Envision is a registered service mark of Wells Fargo & Company and used under license. Michael J. Steinberg 201 Main St., Ste Fort Worth, TX Phone: (817) Toll-free: (800) First Vice President Investments PIM Portfolio Manager During volatile and confusing markets, I understand that even the most patient investors may come to question the wisdom of the investment plan they ve been following. I d like to help, and I can start by offering a cup of coffee and a second opinion. Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR /14/12]. Gary G. Walsh Luther King Capital Management 301 Commerce St., Ste Fort Worth, TX Phone: (817) [email protected] CFA, CPA, Principal, Portfolio Manager Luther King Capital Management was founded in 1979 and provides investment advisory services to high-net-worth individuals, foundations, endowments, investment companies, pension and profit-sharing plans, trust and estates, and other organizations. Please see accompanying research disclosures and important information regarding the manner in which Five Star Wealth Managers are selected. Daniel J. Woodard 1617 W 7 th St. Fort Worth, TX Office: (817) [email protected] eecuinvestmentservices.com Investment Executive Dan works with clients in Fort Worth and the surrounding areas to manage their portfolios, retirement plans, rollovers, inheritances and other investment needs. He makes it a priority to clarify complex products and concepts enabling clients to make better informed decisions. Securities offered through LPL Financial, member FINRA/SIPC. Insurance products offered through LPL Financial or its licensed affiliates. Not NCUA Insured No Credit Union Guarantee May lose Value