2013 Charlotte Five Star Wealth Managers PDF Free Download

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Sv Fiv e S tar ProteF iv S ar Pr feoteF iv S ar Pr feFiv e S ta Pr ofe ssirFiv e S ta Pr ofe ssire ta Pr ofe ss onSire ta Pr ofe ss onSt r P o s io alar r fe sio nata Pr ofe ss n liro s o aSpecial Advertising Section Five StarWealth ManagersIn a consumer study about dynamics between wealthmanagers and their clients, Five Star Professional polledwealth managers and consumers about communications. Bothgroups said that connecting three to four times a year is theright communications strategy, but expectations are notaligned in all areas:are financial advisors, financial planners, investmentadvisors, tax advisors and estate planning attorneys. 2 9 percent of consumers want to be contacted by theirwealth manager whenever events require an update; only 7percent of wealth managers say they contact clients basedon the impact of events.Charlotte magazine and Five Star Professional partnered tofind wealth managers who satisfy 10 objective eligibilityand evaluation criteria that are associated with wealthmanagers who provide quality services to their clients.Among many distinguishing attributes, the average oneyear client retention rate for this year ’s award winners ismore than 96 percent. 63 percent of consumers say they receive the right amountof communication from their wealth manager.From research conducted by Five Star Professional, April 2011.Wealth managers, broadly defined, are thoseindividuals who help you manage your financialworld and/or implement aspects of your financialstrategies. Common examples of wealth managersHow do you find a wealth manager with experience, whohas a good base of clients with high retention rates, andwho has undergone a regulatory and complaint review?And when you find them, are they accepting new clients?Don’t listen to other people. Investigatefor yourself. Be wary of advisers who saythey never had a down year.”— Five Star Wealth ManagerA SelectAwardThe 2013 Five Star Wealth Managers are a select group, representing less than 4 percent of the wealthmanagers in the Charlotte area.(1)Although this list is a useful tool for anyone looking for help in managing their financial world orimplementing aspects of their financial strategies, it should not be considered exhaustive. Undoubtedly, there are many excellentwealth managers who, for one reason or another, are not on this year’s list.AwardIn order to consider a broad population of high-quality wealth managers, award candidatesare identified by one of three sources: firm nomination, peer nomination or pre-qualificationbased on industry standing. Self-nominations are not accepted. Charlotte award candidateswere identified using internal and external research data, including a survey to more than7,500 registered financial services professionals and all identified financial service companies in the area that are registered withFINRA or the SEC.Candidateswww.fivestarprofessional.com — FS 12013 Five Star Wealth Managers2013 Charlotte

Sv Fiv e S tar ProteF iv S ar Pr feoteF iv S ar Pr feFiv e S ta Pr ofe ssirFiv e S ta Pr ofe ssire ta Pr ofe ss onSire ta Pr ofe ss onSt r P o s io alar r fe sio nata Pr ofe ss n liro s o aSpecial Advertising Section 2013 Five Star Wealth ManagersDeterminationOf Award WinnersAward candidates who satisfied 10 objective eligibility and evaluation criteria that areassociated with wealth managers who provide quality services were named 2013 Five StarWealth Managers.(2)Eligibility Criteria – Required(3)20131. C redentialed as an investment advisory representative (IAR), a FINRA-registeredrepresentative, a CPA or a licensed attorney.2. Actively employed as a credentialed professional in the financial services industry for aminimum 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.The Five Star award goes to lessthan 7 percent of wealth managers.Evaluation Criteria – Considered(3)6. One-year client retention rate (the average one-year client retention rate of this year’saward winners is more than 96 percent).7. Five-year client retention rate.8. Non-institutional discretionary and/or non-discretionary client assets administered (thisyear’s award winners administer an average of 103 million in client assets).9. Number of client households served (on average, this year’s award winners serve 225households).10. Education and professional designations.ResearchDisclosures Wealth managers do not pay a fee to be considered orplaced on the final list of Five Star Wealth Managers.Insights from Five StarWealth ManagersWishful thinking is notplanning. If you planfor the worst, you willnever be unpleasantlysurprised.” 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 managetheir clients’ assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construedas an endorsement of the wealth manager by Five Star Professional or Charlotte magazine. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to futureinvestment success, nor is there any guarantee that the selected wealth managers will be awardedthis accomplishment by Five Star Professional in the future. F ive Star Professional is not an advisory firm, and the content of this article should not beconsidered financial advice. For more information on the Five Star award and the research/selection methodology, go to www.fivestarprofessional.com. (1) 1,694 award candidates in the Charlotte area were considered for the Five Star Wealth Manageraward. 280 (approximately 17 percent of the award candidates) were named 2013 Five Star WealthManagers.(2)(3)(4)Wealth managers were required to certify that any information they provided was accurate.Criteria 4, 8 and 9 do not apply to attorneys or CPAs.As defined by Five Star Professional, 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 orFive Star Professional’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.Clients don’t care howmuch you know untilthey know how muchyou care.”Only invest insomething thatyou understand.”What matters most ishow you recover fromsetbacks.”Five Star Professional conducts a regulatory review of each nominated wealth manager using the Investment Adviser Public Disclosure (IAPD) website. Five Star Professional alsouses 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 Five Star Professional regulatory review must attest that they meet the definition of favorable regulatory history, based upon the criterialisted above. Five Star Professional promotes via local advertising the opportunity for consumers to confidentially submit complaints regarding a wealth manager. Five Star Professional contacted approximately 1 in 12 households identified as having a high propensity to use the services of wealth managers in order to provide consumers theopportunity to submit complaints regarding a wealth manager. More than 16,500 households in the Charlotte area were contacted.The Five Star Wealth Manager selection criteria were updated for the 2012 award year. 2005 – 2011 Five Star Wealth Managers scored highest in overall satisfaction based on feedbackfrom clients, peers and industry experts. No more than 7 percent of wealth managers receive the award each year. Contact Five Star Professional at info@fivestarprofessional.com foradditional information regarding the selection process for 2005 – 2011 award winners.FS 2 — www.fivestarprofessional.com

Sv Fiv e S tar ProteF iv S ar Pr feoteF iv S ar Pr feFiv e S ta Pr ofe ssirFiv e S ta Pr ofe ssire ta Pr ofe ss onSire ta Pr ofe ss onSt r P o s io alar r fe sio nata Pr ofe ss n liro s o aSpecial Advertising Section Business PlanningMorris Bell · Bell Wealth ManagementKaren Holland · Belmont Capital AdvisorsRandolph Autrey · Thompson Financial GroupPage 12Bruce Bevins · Ameriprise Financial Services, Inc.Benjamin Horn · Morgan StanleyAlex Bishop · Ameriprise Financial Services, Inc.Gray Howard · Morgan StanleyMichael Black · Raymond James Financial ServicesVic Howie · Merrill LynchDan Brienza · Merrill LynchErik Ibsen · Ameriprise Financial Services, Inc.Estate PlanningRusty Bryson · Cary Street PartnersSteven Johnson · The Johnson Financial GroupWalter Brown · TIME A Crump CompanyJeffrey Carbone · Cornerstone FinancialPartners Page 7Thomas Johnson-Bean · Bankers Life and CasualtyJames Griffin · Griffin Financial GroupW. Louis Herford · Thompson Financial GroupPage 12Nicole Bryan · Vandiver & BryanJohn Carpenter · Culp Elliott & CarpenterPage 15John Cervantes · TCA Financial GroupMichael Climer · Merrill LynchRandal Cokeley · Ameriprise Financial Services,Inc.John Cunningham · John CunninghamCynthia Fenninger · Orsbon & FenningerRyan Dantinne · Sterne Agee Financial ServicesDebra Foster · Debra L. FosterMichael Jones · Merrill LynchChristopher Kemper · Lincoln Financial AdvisorsDouglas King · King Financial PartnersMichael Kreimer · Raymond James FinancialServices Page 15George Kroustalis · CAPTRUSTJames Hickmon · Hickmon & PerrinDiane S. Davis · Ameriprise Financial Services,Inc.Graham Holding · Robinson BradshawKenneth R. Davis · WealthPlan Financial PartnersMichael Laubinger · Charles SchwabMark Horn · Moore & Van AllenThomas Donahue · The Pinnacle Financial GroupCain Leonard · Leonard Wealth PlanningEdward Doughty · Epic Capital WealthManagementBenjamin Lincoln · LPL FinancialCarl King · Culp Elliott & CarpenterPage 15A. Stuart McKaig III · A. Stuart McKaigKaye Miller · Lincoln FinancialPage 10Tom Dumas · Consolidated PlanningChristy Reid · Robinson Bradshaw & HinsonDolf Dunn · Dolf Dunn Wealth ManagementPage 13Allen Starrett · Starrett Law FirmJack Eulitt · New England FinancialCharles Stegall · Consolidated PlanningMichael Fayed · Michael E. Fayed FinancialPlanning Page 13Michael Thompson · Thompson FinancialGroup Page 12Ron Tucker · Tucker Boynton FinancialKent Fox · Merrill LynchJake Garman · Ameriprise Financial Services,Inc. Page 13Financial PlanningChad Kupreanik · Janney Montgomery ScottBrendan K. Maginnis · Ameriprise FinancialServices, Inc.Russell Mansfield · RBC Wealth ManagementJoanie Mashburn · The LMA Group/Merrill LynchCarson McDaniel · Merrill LynchSean McNally · LPL FinancialJim Moore · RBC Wealth ManagementMarty Moore · Carroll Financial AssociatesTom Oddo · Raymond James Financial ServicesGiles Almond · Matrix Wealth AdvisorsJon Gauthier · Ameriprise Financial Services, Inc.April Oliver · Ameriprise Financial Services, Inc.Cynthia Anderson · Anderson Financial PlanningJudson Gee · JHG Financial AdvisorsAllan Oxman · Oxman Riggins & AssociatesMark Antonich · Antonich & Associates/Ameriprise Financial Services, Inc.Jason Goldy · HF FinancialMichael Phillips · Ameriprise Financial Services,Inc.Glen Archer · Raymond JamesGreg Arthur · Ameriprise Financial Services, Inc.Jeremy Grant · Cornerstone Financial PartnersPage 7Jason Austell · New England FinancialMitchell Gravelle · Morgan StanleyDawn Baker · Baker Financial GroupAnn Marie Gugle · Alpha Financial AdvisorsJohn Balcerzak · A4 Wealth AdvisorsTaylor Barden · Morgan StanleyJoseph Bayse · SuntrustWill Beard · Merrill LynchDouglas Grant · MetLifePage 6Daniel Preslar · Redwood Wealth ManagementHeath Prior · WealthPlan Financial PartnersStephen Pulley · Ameriprise Financial Services,Inc.John Gugle · Alpha Financial AdvisorsJames Rice · Rice & Associates/AmeripriseFinancial Services, Inc.Alfred Gugliotta · Raymond James FinancialServicesDonald Robbins · Robbins Financial GroupTim Hamilton · The Pinnacle Financial GroupGeoffrey Roberts · Ameriprise Financial Services,Inc.Curt Heinz · Financial Freedom Strategieswww.fivestarprofessional.com — FS 32013 Five Star Wealth ManagersAward winners listed by primary services and listed alphabetically by last name.

Sv Fiv e S tar ProteF iv S ar Pr feoteF iv S ar Pr feFiv e S ta Pr ofe ssirFiv e S ta Pr ofe ssire ta Pr ofe ss onSire ta Pr ofe ss onSt r P o s io alar r fe sio nata Pr ofe ss n liro s o aSpecial Advertising Section 2013 Five Star Wealth ManagersAward winners listed by primary services and listed alphabetically by last name.David Rotatori · Cornerstone FinancialPartners Page 7Don Barham · Edward JonesGray Daus · Wells Fargo Advisors, LLCBailey Bartee · Wells Fargo Advisors, LLCMichael Davis · Wells Fargo Advisors, LLCBrian Battle · Ameriprise Financial Services, Inc.Rebecca Day · Merrill LynchAnthony Ruffalo · Vanderbilt FinancialGerald Baysden · Morgan StanleyM. Henry Deal · Harbor Capital ManagementThomas Scharf · Integrated Financial StrategiesJason Beckert · Merrill LynchStanley Dyl · Davidson CapitalChad Seigler · Capital GuardianGreg Bennett · LPL FinancialScott Ellis · Wells Fargo Advisors, LLCScott Serfass · Ameriprise Financial Services, Inc.Robert Benton · Wells Fargo Advisors, LLCCasey Smith · Lionshare InvestmentsThomas Berger · Merrill LynchCraig Faile · John Hancock Financial Network/Capitol Financial SolutionsCraig Rubrecht · Cornerstone FinancialPartners Page 7Page 14Page 15Marilyn Spencer · Rinehart Wealth ManagementSuzanne Bledsoe · Merrill LynchDon Stamas · Defender CapitalAaron Bowman · Bowman Financial GroupPaul Taylor · Capital Advisory Group & CapitalInvestment AdvisorsKevin Bowyer · Carroll Financial AssociatesChris Teague · RBC Wealth ManagementJohn Thompson, Jr. · Merrill LynchJohn Bragg · Bragg Financial AdvisorsPhillips Bragg · Bragg Financial AdvisorsWilliam Trahan · Carroll Financial AssociatesTodd Van Der Meid · LPL FinancialBenton Bragg · Bragg Financial AdvisorsPage 15Anthony J. Branch · Wells Fargo Advisors, LLCPage 9David Van Glish · Merrill LynchJohn Brienza · Merrill LynchEric Vetack · WellPoint Wealth & RetirementCarl Brooks · Carroll FinancialEdwin Wadsworth · The Wadsworth GroupSusan Brown · Wells Fargo Advisors, LLCBrent Wainscott · Allen Wealth Advisors/Raymond JamesKelly Burke · Integrated Financial StrategiesMark Walker · Walker and Associates/Ameriprise Financial Services, Inc. Page 15Jason Wilson · Morgan StanleyRobert Wisenbaker · Ameriprise FinancialServices, Inc.Jerry Wyatt II · Integrated InvestmentsDot Yandle · Dot Yandle Financial ServicesPage 12Anthony Burns · Wells Fargo Advisors, LLCJohn Burns · Wells Fargo Advisors, LLCStephen Edson Bush · LPL FinancialBritt Byerley · Merrill LynchMelissa Carlson · Edward JonesGregory Cash · Private Banking and InvestmentsGroup/Merrill LynchJohn Farris · Raymond James Financial ServicesGrisel Fernandez · Wells Fargo Advisors, LLCAndrew Fisher · Wells Fargo Advisors, LLCD. Ben Fletcher · Raymond JamesPage 9Allan Forbes · Forbes Financial AdvocatesRobert Ford · Wells Fargo Advisors, LLCMary Weeks Fountain · Sterling CapitalManagementHogan Fulghum · Ameriprise Financial Services,Inc.R. Christopher Gammon · Carolinas InvestmentConsultingRobert Gaskin · Wells Fargo Advisors, LLCPage 8Frank Golden · Wells Fargo Advisors, LLCKelly Graves · Carroll FinancialThomas Greco · Union Capital InvestmentServicesGary Hammond · Wall Street Capitol/MetLifeSecuritiesLisa Hanline · Raymond James Financial ServicesDavid Cathcart · The Bledsoe Cathcart Group/Merrill LynchDaniel Hanvey · Ameriprise Financial Services,Inc.Martha Catt · Catt Wealth ConsultingKatrina Hayes · TCA Financial GroupInsuranceCharles Chirchirillo · RBC Wealth ManagementRobert Holmes · Thompson Financial GroupDavid Cichan · Merrill LynchLandrum Henderson · Robert W. Baird &CompanyInvestmentsDwayne Clendaniel · Sharonview FinancialServicesAndrew Young · The Young Group/MorganStanleyWilliam Allen II · Ancora Wealth ManagementJohn J. Anderson · Merrill LynchHarvey Bailey · HB Financial ResourcesPhil Bailey · Bailey Retirement PartnersStephanie Bailey · HB Financial ResourcesFS 4 — www.fivestarprofessional.comThomas Hicks · Wells Fargo Advisors, LLCTom Higgins · Edward JonesJohnny Coble · Merrill LynchBarbara Huffman · Wells Fargo Advisors, LLCGerald Craig · Carolina Plannig ConsultantsJay Jacob · Wells Fargo Advisors, LLCJim Crawford · The Crawford GroupCharles Jones · Wells Fargo Advisors, LLCEdwin A. Dalrymple · CAPTRUST FinancialAdvisorsJ. David Jones · Merrill LynchGreg Jorgensen · RBC Wealth Management

Sv Fiv e S tar ProteF iv S ar Pr feoteF iv S ar Pr feFiv e S ta Pr ofe ssirFiv e S ta Pr ofe ssire ta Pr ofe ss onSire ta Pr ofe ss onSt r P o s io alar r fe sio nata Pr ofe ss n liro s o aSpecial Advertising Section Matthew Kalajian · Janney Montgomery ScottMike Kayes · Willingdon Wealth ManagementRobert Kemper · Bob Kemper Financial GroupJoy Kenefick · Wells Fargo Advisors, LLCA. Edward Morais · Ryan Hess Morais FinancialAssociatesDiego Morales · Wells Fargo Advisors, LLCRichard Morrow · Wells Fargo Advisors, LLCJared Smith · Wells Fargo Advisors, LLCDaniel Sperow · Wells Fargo Advisors, LLCJeffrey Spitz · Merrill LynchBradley Stipp · Legacy Wealth & RetirementPlanners Page 15Walter Kennedy · Wells Fargo Advisors, LLCThomas Nunnenkamp · Wells Fargo Advisors,LLCGary LaBrosse · Merrill LynchWilliam Oliver · Wells Fargo Advisors, LLCJames E. Larsen · Wells Fargo Advisors, LLCAngela Ostendarp · Wells Fargo Advisors, LLCJoseph Lipe · Robert W. Baird & CompanyJohn Parker · Merrill LynchJoe Summerville · Ameriprise FinancialServices, Inc. Page 11Jason Loia · Edward JonesMark Pfeffer · Wells Fargo Advisors, LLCJim Teddy · Wells Fargo Advisors, LLCPatrick Long · Wells Fargo Advisors, LLCGwynne Stuart Pfeifer · Morgan StanleyAmy Thalman · Merrill LynchMichel Maggio · Raymond James FinancialServicesKevin Phillips · Robert W. Baird & CompanyMark Thompson · Wells Fargo Advisors, LLCJennifer Powel · Wells Fargo Advisors, LLCPage 14Karen Trounson · Wells Fargo Advisors, LLCChristopher Mahoney · Janney Montgomery ScottKathleen Malone · Wells Fargo Advisors, LLCCarol Mansour-Ezzell · Janney Montgomery ScottPhilip Manz · Wells Fargo Advisors, LLCBrent Matzek · Wells Fargo Advisors, LLCJason Mayer · Wells Fargo Advisors, LLCMitch Mayfield · Wells Fargo Advisors, LLCBrett McCarthy · Merrill LynchDavid McClure · Wells Fargo Advisors, LLCTravis McCollum · Robert W. Baird & CompanyWilliam McDonald · Ballantyne FinancialAdvisorsMatthew Pratt · Thompson Financial GroupPage 12Richard Stolar · Wells Fargo Advisors, LLCKelly Straub · Sharp AdvisorsPage 10Tommy Truman · Morgan StanleyNed Tyree · RBC Wealth ManagementJoel Queck · Wells Fargo Advisors, LLCJeff Vandiver · Wells Fargo Advisors, LLCJordan Raniszeski · Wells Fargo Advisors, LLCDanny Vey · Edward JonesSkipp Ranson · Ranson Capital ManagementWinston Way · Buckhorn Capital ManagementJames Reichard · GreerWalker WealthManagementKelly Weaver · Weaver Wealth ManagementCeleste Renaldo · Wells Fargo Advisors, LLCR. Mitchell Wickham · Private Banking Group/Merrill Lynch Pierce Fenner & SmithAlison Rowe · Robert W. Baird & CompanyNathan Willis · GenSpring Family OfficesRobert Rowell · Wells Fargo Advisors, LLCPage 14Al Winget · Wells Fargo Advisors, LLCFred Woltz · Raymond James & AssociatesDeborah McWilliams · Merrill LynchJohn F. Ryan, Jr. · Ryan Hess Morais FinancialAssociatesHarriet White · Wells Fargo Advisors, LLCWil Mendieta · Wells Fargo Advisors, LLCEvan Scott · Merrill LynchTaxationHoward Meyers · Ameriprise Financial Services,Inc.Steven Scruggs · Bragg Financial AdvisorsChristopher Senvisky · Wells Fargo Advisors, LLCBing Michael · Lincoln Financial SecuritiesPage 15Mary Sherrill · Wells Fargo Advisors, LLCBryan Midura · Wells

Joanie Mashburn · The LMA Group/Merrill Lynch Carson McDaniel · Merrill Lynch Sean McNally · LPL Financial Jim Moore · RBC Wealth Management Marty Moore · Carroll Financial Associates Tom Oddo · Raymond James Financial Se