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Empowering Solutions for Advisors & Investors
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I N S UIRNA A NNC CEIAL
S AENRCVEI SCEERSV I C E S INSUR
Insurance & Annuity Distributor Independent Marketing Organization
Insurance Agents (Life, Health, LTC, Annuity License)
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I NA NC I A L SECURITIES SECURITIES
Broker Dealer Member FINRA/SIPC SEC Registered Investment Advisor
SECURITIES
ASSET MANAGEMENT
Registered Reps (Series 6 or 7)
Investment Advisor Reps (Series 65 or 66)
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Registered Investment Advisor (Series 65 or 66)
P L U GI-NA N - RNC U NI A L
MIENA D I ANC I A L
PORTFORMULAS
Formulaic Trending Money Manager SEC Registered Investment Advisor
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F
I NA PORTFO R MNC U L IAAS L
PLUG-N-RUN
MEDIA
USA Financial HQ Syndicated Radio & Multimedia Solutions
HQ RADIO SHOW Nationally Syndicated Radio Show promoting USA Financial Advisors
Cross-Platform Marketing & Technology Solutions
Plug-N-Run Advisor Tools and USA Financial Wellness Initiative
Investors becoming Clients delivering Assets introducing Friends.
INDUSTRY FACT for Financial Advisors USA Financial is in a league of its own, known to be The Only Organization in the industry that has cohesively stitched-together the most powerful combination of companies designed specifically to Empower Top Advisors.
The Trade Secrets Success Equation that USA Financial Solves for Advisors: Identify, attract and communicate with quality net worth prospects, referrals, introductions & clientele.
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Harvest & manage 100% of each client’s investable & insurance assets thru simplified holistic case design.
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Grow thru synergistic compliance embedded within Plug-N-Run cross platform marketing, media & tech tools.
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Flourish in a parallel vested trust relationship enhanced with the AdvisorGAS phantom stock plan.
= Empowered Advisors! Legendary shock and awe horsepower often referred to as “Wonderland for Advisors!”
FINANCIAL SERVICES FACT:
®
Once informed, professionals intuitively respond with excitement as they inherently understand the wisdom and opportunity created within such a dynamic, free-flowing business platform. The USA Financial “secret” emulates from the very soul of this corporate structure. Literally no other entity can lay claim to maintaining such an unbiased parallel relationship with Financial Advisors for the empowerment of their overall practice. It’s uncanny how a Financial Advisor’s most difficult hurdles and pressing issues are solved seamlessly at USA Financial: • EIA or FIA suitability and/or SEC 151A? No problem.
• Keeping up with technology? No problem.
• Seminar marketing? Online marketing? No problem.
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MEMBERSHIP, PRESTIGE & HORSEPOWER: Imagine having protected access available at your fingertips for such pioneering and revolutionary tools as… • The Home of the USA Financial Wellness Initiative®
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• Audio Brochure Personal Interview (podcast & CD)
• Streamline Practice Management Technology Tools
• Fascinating Financial Facts® Client Newsletter
• Topical Consumer Reports
• Corporate Brochure & Referral Generating Piece
• Annuity 411™ Online Lead Generation
• Asset-Cycle Portfolio System® Planning Software
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• WEB Interactive™ Website Hosting & Development
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LEGENDARY FOCUSED SYNERGY:
®
subsidiaries represent the only organization in the industry that has cohesively
knitted-together a dually registered Independent Broker Dealer and SEC Registered Investment Advisor (BD & RIA to permit discretionary & non-discretionary control), an Insurance Marketing Organization (IMO/ FMO to access top carriers, products & insurance distribution), a 2nd SEC Registered Investment Advisor (RIA AUM to provide turnkey “formulaic trending” money management), the legendary Plug-N-Run® Marketing & Technology Solutions, plus the only Nationally Syndicated Financial Radio Show exclusively designed to promote & benefit Independent Financial Advisors…All under one-roof!
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Empowering Solutions for Advisors & Investors Since 1988
Insurance & Annuity Distributor (IMO/FMO)
®
®
®
Independent Broker Dealer Member FINRA / SIPC
SEC Registered Investment Advisor (RIA)
Formulaic Trending Money Manager (RIA)
USA Financial HQ Nationally Syndicated Radio
Cross Platform Marketing & Technology Solutions
INSURANCE SERVICES is an Independent IMO / FMO that helps build your practice across all carriers and/or product-lines utilizing unmatched marketing, consulting, in-house technology, and advanced sales support. SECURITIES & ASSET MANAGEMENT are an Independent BD & RIA that helps build your practice utilizing sophisticated and compliant proprietary turnkey marketing tools & technology implementation. PORTFORMULAS is an Independent RIA providing turnkey formulaic trending money management so that you can harvest assets without being held prisoner on your computer monitoring every uptick and downtick in the market. MEDIA operates USA FINANCIAL HQ which is the only nationally syndicated financial radio show & multi-media group exclusively designed to promote & benefit independent financial advisors.
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PLUG-N-RUN represents our exclusive legendary collection of proven, successful and compliant cross-platform Plug-N-Run® marketing & technology solutions. ®
DISCOVER LEGENDARY TRADE SECRETS…
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“The Perfect Match for Quality Financial Advisors, Asset–Gatherers and Wealth–Managers.”
Magnetic Financial Services Business Model Seamlessly Solves Advisors’ Most Pressing Issues With Amazing Horsepower...
The Industry’s only: Plug-N-Run Marketing Systems + Synergistic Compliance + 100% Case Design Logic
= Seamless Production Platform “Acknowledged as the Industry’s First & Foremost High–Performance Production Platform Specific Benefit of Elite Financial Professionals.” Designed to Address Countless Industry Issues for the
PLUG-N-RUN® SOLUTIONS: Content Supports the Following Affiliates:
FILL-THE-ROOM® “LIVE” SEMINAR SYSTEM
SECURITIES
ASSET MANAGEMENT
PORTFORMULAS
Options Include: • Traditional Black Ink Postcards
• Small Color Glossy Postcards
• Medium Color Glossy Postcards
• Large Color Glossy Postcards
• Letter Style
• Wedding Style
Necessary Advisor Affiliations: USA Financial Insurance Services and/or USA Financial Securities
(if current broker/dealer doesn’t allow insurance & annuities as outside business activities)
and/or USA Financial Asset Management
(if current broker/dealer doesn’t allow insurance & annuities as outside business activities)
and/or USA Financial Portformulas
(for USA Financial Portformulas specific seminar content)
PLUG-N-RUN® SOLUTIONS: Content Supports the Following Affiliates:
PRESENTATION BUILDER
CUSTOM BUILT POWERPOINT PRESENTATIONS Welcome
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Dashboard
1
SECURITIES
2
3 4
ASSET MANAGEMENT
PORTFORMULAS
Options Include: • 401(k) & Pension Planning
• Fixed–Indexed Annuity Planning
• Estate & Legacy Planning
• Income & Income–Tax Planning
• Investment Planning
• IRA Planning
• Long–Term Care Planning
• Planning Philosophies
• Available in any combination of 35 Different Modules or 5 Pre–Built Presentations Necessary Advisor Affiliations: USA Financial Insurance Services and/or USA Financial Securities
(if current broker/dealer doesn’t allow insurance & annuities as outside business activities)
and/or USA Financial Asset Management
(if current broker/dealer doesn’t allow insurance & annuities as outside business activities)
and/or USA Financial Portformulas
(for USA Financial Portformulas specific seminar content)
PLUG-N-RUN® SOLUTIONS: Content Supports the Following Affiliates:
AUDIO VISITOR® INTERVIEW
PERSONALIZED AUDIO ABOUT YOUR PRACTICE
SECURITIES
ASSET MANAGEMENT
PORTFORMULAS
Necessary Advisor Affiliations: USA Financial Insurance Services & USA Financial Securities or
USA Financial Insurance Services & USA Financial Asset Management or
USA Financial Insurance Services & USA Financial Portformulas
PLUG-N-RUN® SOLUTIONS: Content Supports the Following Affiliates:
AUDIO VISITOR® LIBRARY
TOPICAL AUDIOS AND PRINT ADS
SECURITIES
ASSET MANAGEMENT
PORTFORMULAS
Options Include: • 401(k) & Pension Planning
• Fixed–Indexed Annuity Planning
• Estate & Legacy Planning
• Income & Income–Tax Planning
• Investment Planning
• IRA Planning
• Long–Term Care Planning
• Planning Philosophies
• Available in 10 Different Topics
Necessary Advisor Affiliations: USA Financial Insurance Services and/or USA Financial Securities
(if current broker/dealer doesn’t allow insurance & annuities as outside business activities)
and/or USA Financial Asset Management
(if current broker/dealer doesn’t allow insurance & annuities as outside business activities)
and/or USA Financial Portformulas
(for USA Financial Portformulas specific seminar content)
PLUG-N-RUN® SOLUTIONS: Content Supports the Following Affiliates:
TOPICAL CONSUMER REPORTS A Fin
A Financial Wellness Initiative® Report
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A Financial Wellness Initiative
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Initiat
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© 2009 Plug-N-Run, All rights reserved
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PORTFORMULAS
Options Include: • 401(k) & Pension Planning
• Fixed–Indexed Annuity Planning
• Estate & Legacy Planning
• Income & Income–Tax Planning
• Investment Planning
• IRA Planning
• Long–Term Care Planning
• Planning Philosophies
• Available in 9 Different Topical Reports
Necessary Advisor Affiliations: USA Financial Insurance Services and/or USA Financial Securities
(if current broker/dealer doesn’t allow insurance & annuities as outside business activities)
and/or USA Financial Asset Management
(if current broker/dealer doesn’t allow insurance & annuities as outside business activities)
and/or USA Financial Portformulas
(for USA Financial Portformulas specific seminar content)
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LEAD GENERATION
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future rantee of is no gua and formance management tool on er. Past per ya ® y miss out ture is onl ney Manag or you ma nding Mo al. The RAM fea lt in ue Tre resu val laic lose cip ts can Formu loss of prin t your account can ney market accoun tees and it is visor and tial Ad stan ent mo guaran ing sub Investm sible tha d ETFs and or no insurance risk includ h RAM® it is pos Registered bon of ks, ent ® is an SEC stoc e limited las erent elem Even wit between ts may hav Portformu ries an inh formance. rket. Movement esting car lts or per rket accoun results. Inv rantee specific resu d in the money ma esting. Money ma inv este gua while inv does not red before ortunities should be conside t. growth opp rket accoun which s, ma tion ney in a mo tax implica lose money possible to
Options Include: • 401(k) & Pension Planning
• Fixed–Indexed Annuity Planning
• Estate & Legacy Planning
• Income & Income–Tax Planning
• Investment Planning
• IRA Planning
• Long–Term Care Planning
• Planning Philosophies
• Available for 9 Different Audio Visitors & Financial Wellness Initiative Reports
Necessary Advisor Affiliations: USA Financial Insurance Services and/or USA Financial Securities
(if current broker/dealer doesn’t allow insurance & annuities as outside business activities)
and/or USA Financial Asset Management
(if current broker/dealer doesn’t allow insurance & annuities as outside business activities)
and/or USA Financial Portformulas
(for USA Financial Portformulas specific seminar content)
PLUG-N-RUN® SOLUTIONS: Content Supports the Following Affiliates:
MARKETING
COMPANY BROCHURE AND REFERRAL PIECES
SECURITIES
ASSET MANAGEMENT
PORTFORMULAS
Necessary Advisor Affiliations: USA Financial Insurance Services and USA Financial Securities or USA Financial Insurance Services and USA Financial Asset Management or USA Financial Insurance Services and USA Financial Portformulas
PLUG-N-RUN® SOLUTIONS: Content Supports the Following Affiliates:
FASCINATING FINANCIAL FACTS®
CUSTOM CLIENT NEWSLETTER & LIBRARY OF FACTS Your Photo Goes Here MAY
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Today’s competitive envi ronment requires tools and infor a powerful sour mation to incre ce of ase productivity of Pershing’s profe and performan ssional access ce. At the core solutions, NetX technology solut 360 ion to one complete man age commission- or your entire busi fee-based. This ness, whether it is revolutionary, access account online platform information, place enables you to orders and get and research to the latest tools allow you to perfo , quotes, news rm at your best . TM
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DATA AGGREGATION & PERFORMANCE REPORTING Quarterly Review Report as of: 06/07/2007
Combined Account Portfolio Portfolio Snapshot Since Start Date($)
As of: 06/07/2007
$381,502.74 Gain/Loss Realized $135,269.18
Last Year($)
YTD($)
Last Qtr($) Selected Period($) Q1,2007 03/08/07 − 06/07/07
01/15/2000
2006
06/07/07
0.00
272,073.16
359,278.17
359,278.17
Net Contributions
178,645.88
52,757.99
−63,897.19
−66,178.62
Change in Value
202,856.86
34,447.02
86,121.76
78,646.91
12,704.30
381,502.74
359,278.17
381,502.74
371,746.46
381,502.74
7.57% 18
10.41%
6.58% 18
4.47%
3.47% 18
Portfolio Value Beginning Value
Unrealized Ending Value $26,498.84 Investment Return
366,517.01 2,281.43
Performance By Account Acct Number
Start Date
Value($) Allocation(%) Since Start Date(%) Last Year(%) YTD(%) Last Qtr(%) Selected Period(%) 06/07/07
06/07/07
51265230008198119851
01/15/2000
199,901.41
52.4
12/29/2005
138,567.52
36.3
10.46 18 9.42
13.45
73233459179488143034 77082115339295902894
06/29/2001
27,181.93
7.1
3.65
18
3.50
32503347945786155693
08/26/2002
15,851.89
4.2
8.32 18
9.52
22082863809617249567
07/31/2001
0.00
0.0
4.26 6
50494821904510896535
07/31/2001
0.00
0.0
2.17 6
N/A 14 −16.83
2006 06/07/07
9.09
Q1,2007 03/08/07 − 06/07/07
11.60 18 4.48
8.74
18
−8.86 1.70
−5.39 1.70
−2.67 18 1.70
N/A 14
N/A 14
N/A 14
0.63 6
0.63 6
N/A 14
3.98 18 4.37
1.80
Portfolio and Benchmark Selected Period: 03/08/2007−06/07/2007 61
SECURITIES Asset Allocation As of: 06/07/07 100% = $381,502 Test ACL 2
Test ACL 2
ASSET MANAGEMENT
(%)
33,203.19
8.7
COMMON STOCK
59,760.48
15.7
CORPORATE − INVESTMENT GRADE
30,031.85
7.9
GROWTH − DOMESTIC
17,986.93
LARGE CAP
15,349.76
MID CAP
18,663.79
4.9
SECTOR − REAL ESTATE
86,182.77
22.6
VARIABLE ANNUITY
15,219.25
4.0
105,104.71
27.6
4.7 4.0
DEVELOPMENT
OTHER
Incomplete if presented without accompanying disclosure pages
PORTFORMULAS
Value($)
CASH OR EQUIVALENTS
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