Putting You in the Best Position to Service Your Clients

Transcription

1 Putting You in the Best Position to Service Your Clients CETERA FINANCIAL SPECIALISTS LLC, MEMBER FINRA/SIPC

2 Introducing Cetera Financial Specialists Cetera Financial Specialists is a wealth management firm with a difference. We are the leading growth consultant for tax and accounting professionals and CPA firms that have successfully integrated wealth management into their practices. There is no other firm that truly understands what it takes for an independent like you to thrive in today s ultra-competitive marketplace, has a dedicated Business Development team to help maximize your enterprise value, and can deliver all the tools and services to help build your firm the way you want. A Solution You Can Depend On As part of the Cetera family of broker-dealers, we can draw upon the strength and resources of one of the largest independent broker-dealer networks in the country. From their award-winning wealth management platform and programs to their innovative turnkey marketing solution Connect2Clients ȘM you benefit from the efficiencies and economies of scale Cetera can leverage in bringing you top-tier options that would be outside the reach of a smaller company. a Team You Can Grow With But Cetera Financial Specialists also gives you the close, personal attention of a smaller boutique firm because we are an independently managed company within the Cetera family. Drawing on our 30-year history, our Business Development team delivers proven client solutions customized not only to your niche within the industry, but to your specific practice. There is no other firm that truly understands your business model, your needs, or the unique breadth of skills you bring to your clients. Our focus. Cetera s depth of resources. Your uncompromising vision. Where can our partnership take you? (2) (3)

3 Discovery and Transition Integration and Follow-Up From the moment you decide to join Cetera Financial Specialists, we provide you with a level of service that reinforces the wisdom of your choice every day. We customize our transition process around you and your clients, with a focus on minimizing, if not eliminating, any disruption to your business. 1. At your initial consultation, we ensure that we understand your vision and goals for your practice. 2. A comprehensive product review confirms whether all products that you currently utilize are available and offered at Cetera Financial Specialists. 3. We ensure we understand the various aspects of your practice, including production level, marketing activities, and technology needs, to create a clear path to business growth. 4. Our dedicated Transitions team provides active, hands-on assistance. 5. Your team is brought up to speed on the breadth of our SmartWorks technology platform. 6. An introduction to our vast marketing resources designed to help you build, ignite and grow your business, along with your new business cards and address, makes client and prospect communications easier and more effective. Once your transition is complete, the same level of attentive support and engagement is now focused on helping you get the most from our technology and services. 1. All outstanding items are quickly and efficiently resolved so you can stay focused on your clients and employees needs. 2. Our Advisor Services team provides you and your staff with concierge-level day-today operational support and problem resolution. 3. Regularly scheduled conference calls and webcasts help you fully utilize our technology tools and suite of businessbuilding resources. 4. Our goal-planning tool helps you reach your revenue objectives and time frames. 5. Planning sessions with your Regional and Internal Planning Specialists and wealth management, marketing, technology and Compliance Specialists, among other professional team members, give you a comprehensive view of the many teams supporting your business. 6. Numerous educational opportunities, regional meetings, and conferences throughout the year deliver the added bonus of our extensive peer-to-peer networking programs. DISCOVERY TRANSITION INTEGRATION FOLLOW-UP (4) (5)

4 Technology Meet the future of practice efficiency, productivity and profitability. Our innovative Model Office capabilities are designed to provide maximum flexibility in the way you run your independent practice. Designed from the perspective of financial advisors, our seamless technology workstation, SmartWorks, can increase your productivity and streamline your workflow and operations. 1. SmartWorks fluid work environment lets you move client data freely among its third-party applications. 2. Client segmentation capabilities support targeted and automated marketing initiatives. 3. Smooth integration with industry-leading reporting and analysis tools, including Morningstar Advisor Workstation. 4. Office setup tools and streamlined account opening. 5. Fingertip access to a wealth of online resources, from marketing templates to professional development programs. 6. Topical training at regional and national meetings. 7. Mentoring and support for leveraging technology for maximum business impact. (6) (7)

5 Wealth Management and Research Business Development Support Our world-class wealth management platform delivers institutional-quality investment solutions, suites of tools, technology and products with white-glove concierge service. 1. Advisory products and third-party money managers offer investment solutions for a broad spectrum of client needs from turnkey to advisordirected programs. 2. The highly credentialed legal and financial professionals of the Advanced Planning Group can help answer complex questions on wealth transfer, retirement and distribution strategies, business and succession planning, and stock options. 3. Research on investment solutions led by a team of highly experienced investment professionals provide asset allocation models, fund recommendations, one-on-one consulting services and thought leadership on investment strategies and the financial markets. 4. Our seasoned Due Diligence team ensures that each product meets high standards for managing risk and protecting your reputation. 5. Wealth Management University, a training conference that introduces new investment strategies, improves comprehensive wealth management skills and assists in boosting advisory assets under management. 6. A variety of communications help keep you and your clients connected to the latest marketplace news and analysis, including daily market briefings, a monthly market monitor, quarterly market outlook, quarterly recap and event-driven market commentaries. When you partner with Cetera Financial Specialists, you ll have access to all the strategies, solutions, training and support that you need through our Business Development team. Regional and Internal Planning Specialists help you run your practice as efficiently as you can, offer assistance in navigating product offerings, and deliver client support through one-on-one consultations. They are dedicated to helping you: 1. Develop and execute short- and long-term growth strategies to formulate your vision for your practice and position your business to attract your ideal client. 2. Build your brand and market your practice through extensive marketing resources to forge deeper relationships with clients and prospects. 3. Consult and design client cases by conducting joint meetings with your clients. 4. Maximize office staff productivity. Growth Share Best Practices Maximize Productivity Conduct Client Meetings Advisory Products Advanced Planning Group Research Team Due Diligence Wealth Management University Market News and Analysis 5. Share firm best practices. 6. Grow by merging or acquiring another practice through their access to a broad network of advisors. Build Your Brand Develop Growth Strategies (8) (9)

6 Marketing Unique Learning Forums Draw from industry-leading marketing platforms and support to help you attract new clients, deepen existing relationships and build practice value. Whether you choose to leverage the Cetera Financial Specialists brand or prefer to promote your own brand, our team of seasoned marketers will help you stand out and stand apart from your competitors. Explore Explore, our annual advisors conference, gives you the opportunity to learn new approaches and challenge your thinking through general sessions, productive breakouts and special events. You ll hear about the products and services that offer solutions to your day-to-day practice needs. 1. Benefit from our Connect2- Clients marketing platform, your instant communications solution complete with preapproved client and prospecting letters, postcards, seminars, market commentaries, client appreciation event templates, and more. 2. Receive discounted marketing services from our pre-screened list of providers including website vendors, copywriters, and graphic designers. 3. Attend our monthly webinar series, featuring industry and internal experts, covering timely topics and best practices for marketing your business. 4. Access our seasoned marketing and compliance consultants who can answer your questions. 5. Obtain our quarterly marketing newsletter that provides updates on new resources, upcoming marketing events, best practices and more. 6. Get business-critical updates in easy-to-scan formats through our biweekly newsletter, Stay Connected. Connect2Clients SM Discounted Marketing Services Monthly Webinar Series Marketing and Compliance Consultants Quarterly Marketing Newsletter Biweekly Newsletter Excellerate Excellerate provides networking opportunities, ongoing education and an interactive best practices forum to select advisors. We hold workshops every year across the country to help you meet the needs of your clients, as well as give you an opportunity to discuss and share practice management ideas with your peers. The Academy The Academy is a comprehensive, two-day overview designed to introduce new financial advisors and client services associates to the solutions necessary for planning, managing and growing your successful wealth management practice. Post-Academy, you will receive a six-month personalized business development track to ensure you get off to a fast start. (10) (11)

7 Peer-to-Peer Educational Forums A full calendar of regional and national programs gives you direct access to our senior executives and strategic partners as well as some of the top minds in the industry. You will also tap into the experience and support of those with a unique perspective on your practice your peers. 1. Regular conference calls, meetings, events and CEO round tables are designed to help you build long-lasting relationships with your peers. 2. Product education events deliver expert insight on technical information, business-building strategies and sales ideas. 4. Hundreds of additional educational opportunities range from on-demand and live technology training to our online Firm Element CE, as well as to networking and training programs, product trainings, webcast conference calls, economic commentaries and more. 3. In-depth conference calls feature timely discussions on topics such as retirement plans, alternative investments, third-party money managers, and more. (12) (13)

8 Compliance and Risk Management Our consultative compliance services are customized to fit your business. We take a personalized approach to help ensure you meet all regulatory and firm-level requirements. Your team strives to help you manage risk and keep up-to-date with fast-changing regulations, protecting your business while saving you time and effort through the following: 1. Clear, concise policies and procedures for keeping current with regulations. 2. Comprehensive complaint review and research. 3. Guidance and support for E&O issues. 5. Side-by-side variable annuity contract comparisons which generate a summary for 1035 exchanges. 6. Comprehensive document imaging that lets you run a paperless office. 4. Automated books and records tool. (14) (15)

9 For more information, please contact: Cetera Financial Specialists LLC, Member FINRA/SIPC 200 N. Martingale Rd. Schaumburg, IL About Cetera Financial Specialists Cetera Financial Specialists LLC partners with more than 1,800 tax and accounting professionals who have successfully integrated wealth management into their practices. Cetera Financial Specialists, a full-service broker-dealer, and Cetera Investment Advisers LLC, an SEC registered investment adviser, offer a wide array of solutions and exceptional back-office support to financial advisors, so that they can focus on their clients. Cetera Financial Specialists, a part of Cetera Financial Group, Inc. is a member of the Securities Investor Protection Corporation (SIPC) and a member of the Financial Industry Regulatory Authority (FINRA). For more information, visit About Cetera Financial Group Cetera Financial Group, Inc. is one of the nation s largest privately held, independent broker-dealer and registered investment adviser families. It provides award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, and innovative technology for more than 6,500 independent financial professionals and more than 600 financial institutions nationwide. Through its four distinct broker-dealers, Cetera Financial Group offers the benefits of a large, established and well-capitalized firm, while serving advisors in a way that is customizable to their unique needs and aspirations. Cetera Financial Group is committed to helping advisors grow their business and strengthen their relationships with clients. For more information, visit Securities offered through Cetera Financial Specialists LLC (doing insurance business in CA as CFGFS Insurance Agency), member FINRA/SIPC. Advisory services offered through Cetera Investment Advisers LLC Cetera Financial Specialists LLC /12