Capital Guardian

Alan is a Managing Director of Capital Guardian, LLC and currently acts as Chief Executive Officer of Capital Guardian, LLC and Capital Guardian Wealth Management. Alan joined the firm in 2003 and holds his Series 7, 4, 24 and 63 licenses and is licensed as a Registered Investment Advisor. Alan also holds a license as a Certified Public... Accountant. In 2003, he received his Charted Financial Analyst designation.

Before joining the firm, Alan worked for five years in public accounting and five years for First Union Capital Markets/Wachovia Securities in investment banking.

In addition to his role as CEO, Alan has worked with numerous clients offering comprehensive financial advice in investment planning, retirement planning, tax planning, estate planning and risk management.

He is a member of the American Institute of Certified Public Accountants, North Carolina Association of Certified Public Accountants and Chartered Financial Analyst Institute.

Alan is a graduate of Wingate University where he received a B.S. in Accounting in 1993.

David is a Managing Director of Capital Guardian, LLC and currently serves as President of Capital Guardian Wealth Management, a North Carolina Registered Investment Advisor. David joined the firm in 1999 and holds his Series 7, 24, 31, 51, 63 and 65 licenses. David also has his insurance license with the state of North... Carolina.

David served as principal for Raymond James Financial Services office from 2002-2006. In 2006, David and several partners founded Capital Guardian, LLC and Capital Guardian Wealth Management, a Registered Investment Advisor.

He currently serves on the Gaston County United Way board. He was chairman of the Gaston County YMCA Central Branch board in 2004-2005 and was the board member of the year in 2002.

David earned his MBA from Wake Forest University's Babcock Business School in 1999. He graduated from Winthrop University in 1996 with a degree in finance.

Tony is a Director of Capital Guardian, LLC and Capital Guardian Wealth Management. He leads the Business Development group, coordinating the efforts of the Marketing, Recruiting and Product Development areas. Tony joined the firm in January, 2009 after spending 11 years with two large Wall Street firms as a financial advisor, product specialist... and director of financial advisors in training. Tony holds his Series 7, 31, 63 and 65 licenses. He also has his life, health and long-term care insurance licenses.

In 2003, Tony received the Accredited Asset Management designation through the College of Financial Planning and in 2007; he became a Certified Investment Management Analyst professional through the Investment Management Consultants Association and in conjunction with The Wharton School of Business. Tony still works with select families and businesses providing comprehensive financial advice in investment planning, retirement planning and risk management.

Tony occasionally writes financial planning columns and provides commentary for various local and national publications. He is a member of the Investment Management Consultants Association, UNC Alumni Association, The Rams Club and is a Team Player for The Charlotte Sports Commission.

Tony attended Hobart College for two years where he studied Economics before transferring to the University of North Carolina at Chapel Hill where here earned his degree.

Joe is the Managing Director of Fixed Income at Capital Guardian, LLC. Joe has extensive experience in mortgage backed securities, proprietary trading, portfolio management and structuring transactions. He maintains series 3, 7, 63 and 31... licenses.

Prior to joining Capital Guardian, LLC Joe worked for Wachovia Corporation a multi-bank holding company Structured Products Group from May, 1998 to June, 2008. He was primarily focused on various structuring and trading strategies in mortgages and mortgage derivatives on a proprietary trading desk at Wachovia. Prior to Wachovia Corporation, Joe worked for GE Capital Mortgage Services Inc. a mortgage servicing and securitization operation from August 1994 to May 1998 were he was employed as a Senior Securities Analyst focused on GE Capital issued mortgage backed securities.

Joe received a Bachelors Degree in Finance with Honors from Quincy University, Quincy, IL in 1992.

George joined Capital Guardian LLC in 2009 as Managing Director Fixed Income and brings with him more than 3 decades of experience in the financial services industry. He currently holds the Series 7, 52, 63, 79 & 24....

George began his career in 1978 as a municipal security salesman serving retail clients. Over the next 10 years he gained experience in this area and in 1988 became head of the Municipal desk at First Equity. As head of the desk he was responsible for a team of 15 sales people and managed the daily operation of the desk. First Equity under George's expertise was involved in both primary market offerings and secondary trading.

George became an expert in the area of municipal securities and regularly appeared on the Financial News Network (FNN) to discuss the municipal markets. Throughout his career George has specialized in provided high net worth clients and institutions with fixed income securities.

George holds a B.A. in History and a minor in Finance from the University of Tennessee and is also involved in community activities and the Florida Municipal Bond Club.

Frank is the Chief Compliance Officer of Capital Guardian, LLC joining the firm in 2009. In this role, Frank is responsible for overseeing and managing compliance issues within Capital Guardian. His main responsibilities are to ensure that all Corporate Compliance Programs and regulatory requirements of the company and its employees, policies and... procedures are being followed. Frank holds his Series 7, 9, 10, 24, 53, 63 and 65 licenses. He also has his insurance license with the state of Florida, Variable Life and Health.

Prior to joining Capital Guardian Frank served as First Vice President, Regional Investment Manager for Citi-Smith Barney International Personal Banking Division. Frank managed the offshore international investment units in New York, Miami and California. Frank has an extensive track record in managing both compliance and production, specializing in both domestic and offshore investment business. Frank served with Citigroup from 1991 – 2009.

Frank graduated from Nova Southeastern University with a Bachelor of Science degree in Business Management and earned an MBA from NSU, Wayne Huizenga Graduate School of Business.

Matt is the Chief Compliance Officer for Capital Guardian, LLC and Capital Guardian Wealth Management, joining the firm in 2006. In this role he is responsible for the coordination of compliance and oversight of the two entities. Matt holds the Series 7 and 24... licenses.

Prior to joining Capital Guardian, Matt spent five years at Bank of America working first in Fund Administration for Bank of America Capital Management, and then as a Financial Analyst for Consumer and Small Business Banking. Matt also worked as a Mutual Fund Accountant Supervisor at Investors Bank and Trust in Boston, MA before moving to Charlotte, NC in 2002.

Matt graduated from the University of Vermont in 1999 with a B.S. in Business Administration.