2013 Compensation Study
1) Which of the following best describes your firm?
2) Which most accurately describes your primary job function within the company for which you work or are affiliated?
3) Are you an owner or principal within your firm?
4) Which of the following best describes your current practice structure?
5) Which of the following best describes the services you provide? (Mark all that apply)
6) (Please select from the drop down list)
7) How many firms have you worked for over the last five years?
9) Which of the following licenses or designations do you have? (Mark all that apply)
10) Please indicate your assets under management (AUM):
10a) How have your assets under management changed in the past 12 months?
11) What percentage of your revenue comes from fees versus commission?

12) Please indicate your 2012 gross production:
13) Please indicate your average payout:
14) Please indicate your total compensation for 2012, including fees, commissions, deferred compensation and bonus:
15) In 2012, your total compensation vs. 2011 grew or fell by:
16) Compared with 2012, you expect your total compensation in 2013 to grow or fall by:
17) How do you believe your compensation compares with the industry standard?
18) Did you receive deferred compensation in 2012?
18a) How much deferred compensation do you get? And how long before it vests?
20) Did you receive a retention package in the last five years?
20a) When does/did it expire?
20)b When your retention package expires, are you considering leaving your firm?
21) Did you receive a recruiting/transition bonus when you joined your current firm?
21a) When did/do you receive your bonus? How much was the total package?
22) Does your firm offer compensation incentives for any of the following?
23) Does your firm penalize you (through lowered or eliminated payout or fees charged) for any of the following?
24) What are the top three non-compensation factors that you value the most in your firm? (please check three)
25) What are the three most important changes to your compensation plan this year? (please check three)
26) Do you act as a fiduciary with regards to clients?
27) Has the total number of clients you serve increased, decreased or remained the same in the past 12 months?
28) Excluding market performance, have you experienced a net increase or decrease of dollars invested by your clients in the past year?
29) What is your average client account size based on investable assets held with you?
30) Please indicate your agreement or disagreement with the following statements regarding compensation.
  I’m satisfied with my current compensation plan        
  Our current compensation plan is too complex        
  New hires from other broker-dealers get a better compensation package than existing advisors        
  Compensation is the most important factor when considering whether to switch firms or remain with your current firm        
  My current compensation plan does not provide enough payout or incentive for me to become or stay on as a branch manager or OSJ        
  My current compensation plan does not align well with my business model        
  Rising fees such as ticket charges, technology fee, etc., are becoming a bigger problem        
  I am satisfied with my firm's compensation tracking and reporting        
  Compensating my staff/team and managing payroll is a growing challenge/concern        
31) What is your gender:
32) Please indicate your age:
33) What is the highest level of education you have achieved?
Thank you for your time and input!

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