1. NOT PUBLICLY TRADED AND NEVER WILL BE

• Advisor-Based Culture
• No Proprietary Products – Open Architecture
• Client First Mentality
• Multiple Business Models and Pricing Flexibility
• No Changing Corporate Initiatives
• Consistent Compensation Structure

2. INDEPENDENT BUT NOT ALONE 

• Regional Support Structure
• In Office Branch Director
  • Marketing support
  • Compensation not bonus based (no “pressure to drive corporate campaign”)
  • Hiring, training and management of office staff and sales support
  • Furniture, computer, communication systems in place
  • No focus on monthly expenses (ie cable bill, trash collection, cleaners,copier/printer)
    • “Office structure” allows bundling of expensesIn Office Branch Director
  • Wholesaler coordination, support and control
• Recruiting Support Structure to Add:
  • Additional advisors to your team
  • Source businesses to buy or assume
  • Find experienced sales support
• Business Plan Support
  • Goal assessment
  • Campaign structure
  • Marketing plan
  • Teaming/Growth decisions

3. BROKER/DEALER BUSINESS – NATIONAL FINANCIAL

• Thomson One/Streetscape Trading Platform
• 290+ Mutual Fund Families
• 110+ Annuity Providers
• 9 Fixed Income Platforms
• 529 Plan Open Architecture

4. ADVISORY BUSINESS – FIDELITY INSTITUTIONAL

• Advisor Managed
  
• Separate Account Managers
  • Multiple solicitor programs
  • Numerous advisor managed opportunities

5. FINANCIAL PLANNING

• Software Flexibility
• Ability to Charge or Not Charge a Fee
• Home Office Case Planning Support
• Certified Wealth Strategist (CWS) Program Support

6. INSURANCE/ANNUITIES

• Numerous Variable and Fixed annuities providers
• Open Architecture on Life Products
• General Agent Flexibility (Field Marketing Organization)

7. ALTERNATIVE INVESTMENTS

• DPP’s
• REIT’s
• Oil and Gas Limited Partnerships
• Managed Futures

8. TOP TIER TECHNOLOGY

• Corporate Discounts Available for Outside Systems
  

9. ENTREPRENEURIAL, GROWTH SPIRITED B/D AS PARTNER

• Right Size – 620 Advisors, 100+ Back Office Staff
• Named “Broker/Dealer of the Year” 10 Times Since 1991
• Personalized Case Planning Department
  
• Positive Home Office Environment, Focused on FA Support, Not Shareholder Value
• Focus on Training