2013 Independent Brokerage Report Card
1. Which most accurately describes your primary job function within the company for which you work or are affiliated?
 
2. With which broker/dealer are you currently affiliated?
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
   
 
 
   
   
3. Approximately how many advisors are affiliated with your broker/dealer?
 
4.
5.
6.
6a
The next few questions ask you to rate various aspects of your company on a scale of 1 to 10. This section is divided into 8 parts: Sales and Service Support, Professional Development, Technology, Product Offerings, Compensation and Benefits, Compliance, Management and Overall Performance.
7. Please rate your broker/dealer on the following aspects.
Sales and Service Support

1 = Unacceptable, 10 = Outstanding
 
                     
Marketing services the firm provides for me to market my business                    
Practice management support                    
Succession planning support                    
Transition/ on-boarding support                    
Clarity of account statements                    
Resolution of client account problems                    
Helpful home-office support staff                    
Overall rating of sales and service support                    
8. Please rate your broker/dealer on the following aspects.
Professional Development

1 = Unacceptable, 10 = Outstanding
 
                     
Continuing education opportunities                    
Access to in-house financial planning experts                    
Access to in-house product selection experts                    
National and/or regional sales conferences                    
Peer networking opportunities                    
Sales coaching                    
Overall rating of professional development opportunities                    
9. Please rate your broker/dealer on the following aspects.
Technology

1 = Unacceptable, 10 = Outstanding
 
                     
CRM                    
Desktop applications                    
Technology service and support                    
Customization                    
Quality of online investor tools                    
Overall rating of technology                    
10. Please rate your broker/dealer on the following aspects.
Product Offerings

1 = Unacceptable, 10 = Outstanding
 
                     
Quality of investment research                    
Range of products offered                    
Quality of products offered                    
Access to alternative investments                    
Lending and investment banking                    
Freedom from pressure to sell proprietary products or inventory                    
Due diligence                    
Managed account and fee offerings                    
Overall rating of product offerings                    
11. Please rate your broker/dealer on the following aspects.
Compensation and Benefits

1 = Unacceptable, 10 = Outstanding
 
                     
Cash compensation (payout grid)                    
Timely payout of commissions and fees                    
Deferred revenue and other non-cash compensation                    
Group health and retirement benefits                    
Other perks                    
Overall rating of compensation and benefits                    
12. Please rate your broker/dealer on the following aspects.
Compliance

1 = Unacceptable, 10 = Outstanding
 
                     
Risk management                    
Clearly communicated compliance policies and procedures                    
Reduction of administrative burden (time and effort)                    
Turnaround time for material submitted to compliance department                    
Knowledgeable compliance staff                    
Ability to choose mix of commission and fee business                    
Ability to set up own RIA                    
Dodd-Frank information and resources                    
Social media support                    
Overall rating of compliance support                    
13. Please rate your broker/dealer on the following aspects.
Management

1 = Unacceptable, 10 = Outstanding
 
                     
Access to senior management                    
Strategic focus                    
Ethics                    
Brand/Public image                    
Morale                    
Leadership and stability                    
Firm culture                    
Firm’s financial performance                    
Overall rating of your broker/dealer's management                    
14. How would you rate your overall experience at your broker/dealer?

1 = Unacceptable, 10 = Outstanding
 
 
 
 
 
 
 
 
 
 
 
15. How likely are you to still be affiliated with your current broker/dealer one year from now?
 
15a.
16. How important would the following factors be in causing you to look for a new B/D?
             
  Service            
  Technology            
  Product selection            
  Business support            
  Rewards (e.g. Top Producer Trips, Conferences, etc.)            
  Payout/Compensation            
  Strategic vision of firm and upper management            
  M&A Activity            
  Increased Independence            
  Brand Erosion            
  Conflict with direct manager            
  Compliance responsiveness            
  Client concerns about my firm's solvency            
  Other (please specify below):            
 
17 Which independent broker/dealer firm do you think is the best to be affiliated with?
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
   
 
 
   
 
18. Please indicate all professional designations, charters, licenses, and educational programs that you have achieved or completed.
 
 
 
 
 
 
 
 
 
 
   
 
19. Do you consider yourself a fiduciary?
 
20. What is your annual gross production?
 
 
 
 
20a. How does that compare to one year ago?
 
 
 
 
 
 
   
21. What are the total assets you have under management (AUM)?
 
 
 
 
   
21a. How does that compare to one year ago?
 
 
 
 
 
 
   
22
23. What percentage of your income came from each of the following sources in 2012? The total should sum to 100%.
 
 
 

 
24. Did you receive a recruiting bonus when you affiliated with your current broker/dealer?
 
24.a
24.a
24.a
25. Into which of the following ranges does your age fall?
 
26. Are you:
 
27.
Thank you for your time and input!

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