Join. Build. Succeed.
www.SignatorInvestors.com
Join. Build. Succeed.
Get to Know Signator Investors, Inc.
Signator Investors, Inc., powered by John Hancock Financial Network, is an independent broker/dealer and registered investment adviser serving more than 1,850 financial advisors in 325 branch offices and 45 OSJs across the United States.
Pacific Financial Partners
Southeastern Financial Partners
The Art and Science of Wealth Management
3
Why Signator Investors
Whether it’s our affiliation models, branding flexibility or open product solutions, Signator allows you to build your own practice your own way while providing the highest level of service and support to your clients.
Affiliate the way that makes sense for your business vision
…with an affiliation model based on the level of independence and support you want, while using your own unique business name. And as your business evolves, your affiliation can change with it. Benefit from our experienced and dedicated transition team
…with our concierge service to help transition your practice with minimal disruption to your clients and your day-to-day business operations. Take advantage of our open product solutions
How We’re Different
…with a comprehensive range of investment, advisory and protection products from leading carriers to help meet your clients’ needs.
At Signator, your practice is built by you but backed by local and national resources powered by John Hancock Financial Network to help move your practice forward. This unique combination of independence and support allows you to stay focused on meeting the needs of your clients, while providing help when you need it.
Utilize regional and national resources to support your business growth
With Signator, you get:
…with industry leading technology, practice management, market development, training and business support.
■■
Independence with an open product platform that includes a comprehensive range of investment, advisory and protection products from leading carriers.
■■
egional infrastructure support through local OSJs that provide compliance, supervision, technology, R marketing, training and other services that allow you to stay focused on meeting the needs of your clients.
■■
T he financial strength and scale associated with a well-recognized financial services company that’s been around for more than 150 years.
Build equity in your business and reap the benefits of the success you build
…with our innovative Equity and Succession Planning Platform. Be recognized and rewarded for dedication, hard work and client service excellence
…with our exclusive Top Producer Program benefits.
2
3
Partner With Us.
What We Offer: Open Product Solutions
Affiliation Models
Brokerage Account Platform
Your affiliation is customized to provide the resources you need to build and support your business. Through an affiliation with a regional OSJ, financial advisors receive business processing support with full compliance and supervision backing. But you can also take advantage of different levels of local support, depending on your business model.
At Signator, you can access a comprehensive investment platform to meet your clients’ wealth management needs—today and in the future. From mutual funds and variable annuities to retirement accounts and 529 plans, you can offer your clients industry-leading products and services including: ■■
learing through National Financial Services LLC (NFS), a Fidelity Investments® Company C offering a trusted reputation, as well as being a leader in technology and investment solutions.
■■
state-of-the-art technology platform that gives you the freedom to open accounts for A Variable Annuities, Mutual Funds, and Brokerage Accounts at any of our product providers.
■■
Brokerage accounts that feature:
Examples of how you can affiliate:
Compensation Products
Firm Value
Expenses
Housed Full Service
Detached Full Service
■■ Access
to a full complement of Investment, Insurance, and Advisory Products ■■ Competitive payouts customized based on resources and level of success
■■ Access
to a full complement of Investment, Insurance, and Advisory Products ■■ Competitive payouts customized based on resources and level of success
■■ Access
■■ Supervision
and Compliance Support ■■ Business Processing ■■ Payroll ■■ Marketing/Training ■■ Firm Lead/Sales Program ■■ Office Space ■■ Office Technology
■■ Supervision
■■ Supervision
■■ Signator Technology
■■ Signator Technology
■■ Signator
Signator Value
■■ ACE
Fee
E&O
Bonus ■■ ACE Trip ■■ Top Producer Program ■■ Sales Desk ■■ Practice Management ■■ Equity and Succession ■■ Designation Reimbursement ■■ Product Due Diligence
and Compliance Support ■■ Business Processing ■■ Payroll ■■ Marketing Support ■■ Sales Support
Detached Self Service to a full complement of Investment, Insurance, and Advisory Products ■■ Competitive payouts customized based on resources and level of success
and Compliance Support ■■ Business Processing
•
ccess to over 11,000 funds from over A 450 fund companies
•
e -Notification through our client website— SignatorOne.com
•
S tocks, bonds, options, UITs, and other alternative investments
•
•
heck-writing and debit card features such as C bill payment, e-delivery of prospectuses and other important documents, Quicken and TurboTax downloads, and more
nline access and mobile apps providing the O ability to trade, view account info, service requests and disbursements
Brokerage Services Support Signator offers financial professionals access to a premium resource center for all your investment-related needs. We pride ourselves on providing the very best in personal service to our valued financial professionals and their clients. Fee
■■ Signator
■■ Signator Technology
E&O ■■ Office Space ■■ Office Technology
■■ Signator
■■ ACE
■■ ACE
Bonus ■■ ACE Trip ■■ Top Producer Program ■■ Sales Desk ■■ Practice Management ■■ Equity and Succession ■■ Designation Reimbursement ■■ Product Due Diligence
Fee
E&O ■■ Office Space ■■ Office Technology ■■ Payroll Bonus ■■ ACE Trip ■■ Top Producer Program ■■ Sales Desk ■■ Practice Management ■■ Equity and Succession ■■ Designation Reimbursement ■■ Product Due Diligence
Operations We simplify and streamline day-to-day business operations for account transfers, account maintenance, money movement, and all of your service-related issues for both retail and managed accounts.
Trading We facilitate transactions for a variety of investment products within our brokerage accounts, specializing in order entry for mutual fund, equity, option, and fixed income transactions.
Training and Education We provide critical training and guidance on all services, products, and business systems and are a resource for account management inquiries.
Technology Our web-based brokerage technology platform Streetscape® integrates trading and service functionality with customer information and risk management tools. Streetscape delivers the flexible platform you need to help you serve your clients more effectively and efficiently, which may help reduce costs. Functionality includes: •
4
nline self-service options: Mobile check O deposits, Process wires and electronic fund transfers, Journal between like accounts
•
Customer service and information
•
Order management/trading
•
Market data and research
•
Reporting
•
Broker and Advisor Center
5
Registered Investment AdvisEr Financial advisors will appreciate the combination of due diligence and flexibility offered through our Registered Investment Adviser (RIA) program, which allows you to retain ownership of your business, while we focus on meeting the regulatory and compliance requirements Access a range of industry leading fee-based mutual fund and separate account platforms, including professional money management based on customized investment strategies, as well as financial planning resources.
Managed Account Platform Whether you are an asset manager or asset gatherer, our diverse lineup of solutions from industry leading managers can help you meet your clients' investment goals and objectives. As an asset gatherer, we offer solutions across the complete spectrum of available managed account types, including: •
Mutual fund and ETF wrap programs
•
Unified managed accounts (UMA)
•
Separately managed accounts (SMA)
•
Boutique offerings
If you are an asset manager, we have Advisor Managed Portfolios that would provide qualified advisers with the ability to construct models that include individual bonds and securities, ETFs and Mutual Funds.
Financial Planning Platform Provide fee-based financial planning services to your clients as part of a comprehensive wealth management approach. You will have access to a wide range of industry leading financial planning software available to you at a discounted rate, allowing you to select the planning software that is right for your business and your clients.
Consultative Services Platform Charge an hourly or flat fee to review or offer recommendations for specific financial planning topics outside of a comprehensive financial plan, such as asset allocation planning, estate planning, retirement planning and goal accumulation planning.
Defined Contribution Consulting Platform Qualified IARs with advanced 401(k) practices can benefit from the Signator Defined Contribution Consulting program, which enables you to offer fee-based fiduciary and non-fiduciary services such as investment selection, monitoring services and development of investment policy statements. This platform is designed for those IARs who want to act as an ERISA 3(21) Fiduciary, the benefits of which include: •
P rofessional development support to help you achieve required qualifications, including the Accredited Investment Fiduciary® (AIF) designation.
•
ecision-making process resources for D investment fiduciaries utilizing FI360’s advanced web-based technology. This includes the fi360 Toolkit for Advisors, fi360 Toolkit for Service Providers, data licensing, custom reporting, due diligence and other resources.
•
P ractice management resources from Retirement Plan Advisory Group (RPAG), one of the leading 401(k) resources in the industry and offered on the advisor platform. RPAG resources include investment selection and monitoring tools as well as RFP and benchmarking tools.
•
Multiple fee options to suit plan sponsors’ needs.
Compliance Support Best of all, at Signator we handle all of your regulatory filings and provide disclosure documents, client agreements, comprehensive product and platform due diligence standards—making it easier for you to ensure that you comply with policies and procedures.
2
7
Insurance At Signator, our open product platform also includes insurance and gives advisors more choices, better service and greater flexibility than ever before. ■■
More ways to do what's best for your clients.
■■
Industry-leading life, long-term care, disability, and fixed annuity products from top carriers.
■■
Due diligence processes to meet compliance and financial standards.
■■
Sales of approved products count toward qualification for our ACE recognition meeting.
Case support from start to finish, including case design, contracting, case processing, and underwriting and impaired risk support. ■■
Advanced Support for Affluent and Business Markets Through John Hancock’s advanced markets teams of seasoned lawyers, and consultants, you can access the high-level expertise, case design and technical support that will help you help your clients succeed.
What We Offer: Advisor-Focused Resources Equity and Succession Planning
Practice Management
You have a vision for the practice you’re building, and you’re working hard to achieve it. But have you thought about how to make your business more valuable or what will happen to your clients when you retire? Do you have the support you need to thoroughly develop and implement a succession plan? Building a successful practice today and planning with a successor will help ensure your clients are well cared for, now and in the future.
Signator's Practice Management Program is designed to help you manage and grow your business by driving efficiencies and targeting the right clients for your services.
Build4Success will help you value, protect, grow and realize the business value you’ve created, while ensuring your clients continue to receive the service they deserve.
People For a practice to be at its best, it is essential that the right people are doing the right things at the right time. We will help you develop a team to support you and your clients’ day-to-day needs so you can focus on building your business.
Process Step 1: Determine your
Step 3: Grow your business
business value using our unique third-party investment, advisory, and insurance-based valuation model that considers intangible assets such as deep client relationships.
including resources to help identify acquisition opportunities, plus get assistance with structuring and financing a transaction.
Step 2: Protect your business value and your client relationships through short-term continuity arrangements as well as a long-term succession plan.
8
Step 4: Realize your business value by selling your business to an existing protégé or associate, and get assistance with transitioning your practice.
Successful advisors tend to have well-defined processes in place, enabling them to better manage their time. They set time aside to work on, not just in, their practice. We will help you organize and refine your processes and develop efficient, reliable business practices
Technology The impact of using the appropriate technology in your practice cannot be overstated. It can give you and your clients the ability to work together from anywhere in the world, at any time. It can reduce or eliminate unnecessary mistakes and missed opportunities. It can also help streamline your practice. Our program can assist you in choosing and implementing the right technology to optimize your practice and improve the client experience.
9
Topics Our program covers a wide variety of issues that a modern financial practice faces: •
Firm Value Proposition
•
Pricing of Services
•
Staffing
•
Client Segmentation
•
People Management
•
Referral Strategy
•
Technology
•
Succession Planning
•
Marketing
•
Programs
What We Offer: Recognition for Client Service Excellence At Signator Investors, Inc., we place enormous value on recognizing and rewarding client service excellence and dedication demonstrated by our outstanding financial advisors. This commitment is reflected through our Achieving Client Excellence Program (ACE), which includes:
The Practice Management Program has two levels of participation, so you can choose the one that works best for you:
■■
Financial incentives
■■
Access to customized practice management resources, including business valuation and consulting support
1. One-On-One Coaching—This is the most hands-on option. It is designed around a step-by-step program, guided by one of Signator’s practice management consultants.
■■
Invitation to annual recognition meeting
■■
pportunity to qualify for Signator’s most coveted awards, including the Practice of the Year Award O and the Financial Representative of the Year Award
■■
Additional benefits and priority services available to those who qualify for our highest level of recognition
2. Do-It-Yourself—This option provides some of the resources of the one-on-one track, but without the interactive guidance from a practice management consultant or some of the other interactive features, such as periodic assessments or subject matter study groups.
Sales Support Our Sales Consulting Team is dedicated to helping you navigate our open product platform by offering product agnostic sales support. The team is cross-trained on all product lines with each sales consultant focusing on a particular area. Whether it’s case consultation or helping you grow your business, the Sales Consulting Team takes a proactive approach to sharing sales ideas and best practices with you.
Technology At Signator Investors, Inc., we know how much you rely on technology to manage data and move your business forward while staying focused on meeting the needs of your clients. That’s why technology is such a primary focus for us. From mobile apps to e-signature to integrated business systems, you’ll find that our technology solutions not only support a full range of business models, but also integrate seamlessly with your practice. Additionally, our state-of-the-art technology platform allows you to utilize a wide range of proprietary systems and leading industry software, including:
Practice of the Year Award ACE qualifiers are eligible to apply for Practice of the Year, a unique recognition opportunity awarded to the practice that best demonstrates exceptional business building and exemplifies superior client excellence, as determined by an independent panel of industry experts.
Financial Representative of the Year Award The coveted Financial Representative of the Year Award goes to the top ACE qualifier and provides a unique recognition opportunity for the advisor that exemplifies leading business and client service excellence.
Exclusive Top Producer Program Benefits ACE qualifiers are eligible to participate in our Top Producer Program, designed to help you develop and implement a growth strategy to take your practice to new levels. This includes:
eFactFinder
Practice Valuation—Understand the current value of your practice, and uncover opportunities for future growth and continuity planning
Our electronic fact finder enables you to collect client information online and integrates seamlessly with our needs analysis and account opening software.
Business Health Check—Assess the overall health of your business and the areas where you can make improvements
Account Center Our proprietary business system allows you to view, process, and manage all your registered business online, aggregate client data, provide consolidated reports, and get business on the books faster while allowing you to stay focused on providing the highest level of customer service to your clients.
Client Satisfaction Survey—Learn about your business from a client perspective Staff Survey—Evaluate your relationship with your staff Coaching—Develop and implement an action plan to achieve your unique business vision
Compliance In today’s increasingly complex regulatory environment, Signator’s compliance and supervision teams are proactive in helping to protect your brand while you focus on working with your clients. Our support structure allows you to utilize a combination of local and national industry, legal, and compliance experts who understand your business and will work with you to help protect what you’ve built for your clients.
10
11
For additional information and to learn more about Signator, visit www.SignatorInvestors.com.
We are strongly committed to diversity and equal opportunity. Securities and Investment Advisory Services offered through Signator Investors, Inc. Member FINRA, SIPC, a Registered Investment Adviser, 197 Clarendon Street, Boston, MA 02116. www.SignatorInvestors.com
2
4374-20140317-179085 SIICAPBRO 03/14
Join. Build. Succeed.
Get to Know Signator Investors, Inc.
Signator Investors, Inc., powered by John Hancock Financial Network, is an independent broker/dealer and registered investment adviser serving more than 1,850 financial advisors in 325 branch offices and 45 OSJs across the United States.
Pacific Financial Partners
Southeastern Financial Partners
The Art and Science of Wealth Management
3
Why Signator Investors
Whether it’s our affiliation models, branding flexibility or open product solutions, Signator allows you to build your own practice your own way while providing the highest level of service and support to your clients.
Affiliate the way that makes sense for your business vision
…with an affiliation model based on the level of independence and support you want, while using your own unique business name. And as your business evolves, your affiliation can change with it. Benefit from our experienced and dedicated transition team
…with our concierge service to help transition your practice with minimal disruption to your clients and your day-to-day business operations. Take advantage of our open product solutions
How We’re Different
…with a comprehensive range of investment, advisory and protection products from leading carriers to help meet your clients’ needs.
At Signator, your practice is built by you but backed by local and national resources powered by John Hancock Financial Network to help move your practice forward. This unique combination of independence and support allows you to stay focused on meeting the needs of your clients, while providing help when you need it.
Utilize regional and national resources to support your business growth
With Signator, you get:
…with industry leading technology, practice management, market development, training and business support.
■■
Independence with an open product platform that includes a comprehensive range of investment, advisory and protection products from leading carriers.
■■
egional infrastructure support through local OSJs that provide compliance, supervision, technology, R marketing, training and other services that allow you to stay focused on meeting the needs of your clients.
■■
T he financial strength and scale associated with a well-recognized financial services company that’s been around for more than 150 years.
Build equity in your business and reap the benefits of the success you build
…with our innovative Equity and Succession Planning Platform. Be recognized and rewarded for dedication, hard work and client service excellence
…with our exclusive Top Producer Program benefits.
2
3
Partner With Us.
What We Offer: Open Product Solutions
Affiliation Models
Brokerage Account Platform
Your affiliation is customized to provide the resources you need to build and support your business. Through an affiliation with a regional OSJ, financial advisors receive business processing support with full compliance and supervision backing. But you can also take advantage of different levels of local support, depending on your business model.
At Signator, you can access a comprehensive investment platform to meet your clients’ wealth management needs—today and in the future. From mutual funds and variable annuities to retirement accounts and 529 plans, you can offer your clients industry-leading products and services including: ■■
learing through National Financial Services LLC (NFS), a Fidelity Investments® Company C offering a trusted reputation, as well as being a leader in technology and investment solutions.
■■
state-of-the-art technology platform that gives you the freedom to open accounts for A Variable Annuities, Mutual Funds, and Brokerage Accounts at any of our product providers.
■■
Brokerage accounts that feature:
Examples of how you can affiliate:
Compensation Products
Firm Value
Expenses
Housed Full Service
Detached Full Service
■■ Access
to a full complement of Investment, Insurance, and Advisory Products ■■ Competitive payouts customized based on resources and level of success
■■ Access
to a full complement of Investment, Insurance, and Advisory Products ■■ Competitive payouts customized based on resources and level of success
■■ Access
■■ Supervision
and Compliance Support ■■ Business Processing ■■ Payroll ■■ Marketing/Training ■■ Firm Lead/Sales Program ■■ Office Space ■■ Office Technology
■■ Supervision
■■ Supervision
■■ Signator Technology
■■ Signator Technology
■■ Signator
Signator Value
■■ ACE
Fee
E&O
Bonus ■■ ACE Trip ■■ Top Producer Program ■■ Sales Desk ■■ Practice Management ■■ Equity and Succession ■■ Designation Reimbursement ■■ Product Due Diligence
and Compliance Support ■■ Business Processing ■■ Payroll ■■ Marketing Support ■■ Sales Support
Detached Self Service to a full complement of Investment, Insurance, and Advisory Products ■■ Competitive payouts customized based on resources and level of success
and Compliance Support ■■ Business Processing
•
ccess to over 11,000 funds from over A 450 fund companies
•
e -Notification through our client website— SignatorOne.com
•
S tocks, bonds, options, UITs, and other alternative investments
•
•
heck-writing and debit card features such as C bill payment, e-delivery of prospectuses and other important documents, Quicken and TurboTax downloads, and more
nline access and mobile apps providing the O ability to trade, view account info, service requests and disbursements
Brokerage Services Support Signator offers financial professionals access to a premium resource center for all your investment-related needs. We pride ourselves on providing the very best in personal service to our valued financial professionals and their clients. Fee
■■ Signator
■■ Signator Technology
E&O ■■ Office Space ■■ Office Technology
■■ Signator
■■ ACE
■■ ACE
Bonus ■■ ACE Trip ■■ Top Producer Program ■■ Sales Desk ■■ Practice Management ■■ Equity and Succession ■■ Designation Reimbursement ■■ Product Due Diligence
Fee
E&O ■■ Office Space ■■ Office Technology ■■ Payroll Bonus ■■ ACE Trip ■■ Top Producer Program ■■ Sales Desk ■■ Practice Management ■■ Equity and Succession ■■ Designation Reimbursement ■■ Product Due Diligence
Operations We simplify and streamline day-to-day business operations for account transfers, account maintenance, money movement, and all of your service-related issues for both retail and managed accounts.
Trading We facilitate transactions for a variety of investment products within our brokerage accounts, specializing in order entry for mutual fund, equity, option, and fixed income transactions.
Training and Education We provide critical training and guidance on all services, products, and business systems and are a resource for account management inquiries.
Technology Our web-based brokerage technology platform Streetscape® integrates trading and service functionality with customer information and risk management tools. Streetscape delivers the flexible platform you need to help you serve your clients more effectively and efficiently, which may help reduce costs. Functionality includes: •
4
nline self-service options: Mobile check O deposits, Process wires and electronic fund transfers, Journal between like accounts
•
Customer service and information
•
Order management/trading
•
Market data and research
•
Reporting
•
Broker and Advisor Center
5
Registered Investment AdvisEr Financial advisors will appreciate the combination of due diligence and flexibility offered through our Registered Investment Adviser (RIA) program, which allows you to retain ownership of your business, while we focus on meeting the regulatory and compliance requirements Access a range of industry leading fee-based mutual fund and separate account platforms, including professional money management based on customized investment strategies, as well as financial planning resources.
Managed Account Platform Whether you are an asset manager or asset gatherer, our diverse lineup of solutions from industry leading managers can help you meet your clients' investment goals and objectives. As an asset gatherer, we offer solutions across the complete spectrum of available managed account types, including: •
Mutual fund and ETF wrap programs
•
Unified managed accounts (UMA)
•
Separately managed accounts (SMA)
•
Boutique offerings
If you are an asset manager, we have Advisor Managed Portfolios that would provide qualified advisers with the ability to construct models that include individual bonds and securities, ETFs and Mutual Funds.
Financial Planning Platform Provide fee-based financial planning services to your clients as part of a comprehensive wealth management approach. You will have access to a wide range of industry leading financial planning software available to you at a discounted rate, allowing you to select the planning software that is right for your business and your clients.
Consultative Services Platform Charge an hourly or flat fee to review or offer recommendations for specific financial planning topics outside of a comprehensive financial plan, such as asset allocation planning, estate planning, retirement planning and goal accumulation planning.
Defined Contribution Consulting Platform Qualified IARs with advanced 401(k) practices can benefit from the Signator Defined Contribution Consulting program, which enables you to offer fee-based fiduciary and non-fiduciary services such as investment selection, monitoring services and development of investment policy statements. This platform is designed for those IARs who want to act as an ERISA 3(21) Fiduciary, the benefits of which include: •
P rofessional development support to help you achieve required qualifications, including the Accredited Investment Fiduciary® (AIF) designation.
•
ecision-making process resources for D investment fiduciaries utilizing FI360’s advanced web-based technology. This includes the fi360 Toolkit for Advisors, fi360 Toolkit for Service Providers, data licensing, custom reporting, due diligence and other resources.
•
P ractice management resources from Retirement Plan Advisory Group (RPAG), one of the leading 401(k) resources in the industry and offered on the advisor platform. RPAG resources include investment selection and monitoring tools as well as RFP and benchmarking tools.
•
Multiple fee options to suit plan sponsors’ needs.
Compliance Support Best of all, at Signator we handle all of your regulatory filings and provide disclosure documents, client agreements, comprehensive product and platform due diligence standards—making it easier for you to ensure that you comply with policies and procedures.
2
7
Insurance At Signator, our open product platform also includes insurance and gives advisors more choices, better service and greater flexibility than ever before. ■■
More ways to do what's best for your clients.
■■
Industry-leading life, long-term care, disability, and fixed annuity products from top carriers.
■■
Due diligence processes to meet compliance and financial standards.
■■
Sales of approved products count toward qualification for our ACE recognition meeting.
Case support from start to finish, including case design, contracting, case processing, and underwriting and impaired risk support. ■■
Advanced Support for Affluent and Business Markets Through John Hancock’s advanced markets teams of seasoned lawyers, and consultants, you can access the high-level expertise, case design and technical support that will help you help your clients succeed.
What We Offer: Advisor-Focused Resources Equity and Succession Planning
Practice Management
You have a vision for the practice you’re building, and you’re working hard to achieve it. But have you thought about how to make your business more valuable or what will happen to your clients when you retire? Do you have the support you need to thoroughly develop and implement a succession plan? Building a successful practice today and planning with a successor will help ensure your clients are well cared for, now and in the future.
Signator's Practice Management Program is designed to help you manage and grow your business by driving efficiencies and targeting the right clients for your services.
Build4Success will help you value, protect, grow and realize the business value you’ve created, while ensuring your clients continue to receive the service they deserve.
People For a practice to be at its best, it is essential that the right people are doing the right things at the right time. We will help you develop a team to support you and your clients’ day-to-day needs so you can focus on building your business.
Process Step 1: Determine your
Step 3: Grow your business
business value using our unique third-party investment, advisory, and insurance-based valuation model that considers intangible assets such as deep client relationships.
including resources to help identify acquisition opportunities, plus get assistance with structuring and financing a transaction.
Step 2: Protect your business value and your client relationships through short-term continuity arrangements as well as a long-term succession plan.
8
Step 4: Realize your business value by selling your business to an existing protégé or associate, and get assistance with transitioning your practice.
Successful advisors tend to have well-defined processes in place, enabling them to better manage their time. They set time aside to work on, not just in, their practice. We will help you organize and refine your processes and develop efficient, reliable business practices
Technology The impact of using the appropriate technology in your practice cannot be overstated. It can give you and your clients the ability to work together from anywhere in the world, at any time. It can reduce or eliminate unnecessary mistakes and missed opportunities. It can also help streamline your practice. Our program can assist you in choosing and implementing the right technology to optimize your practice and improve the client experience.
9
Topics Our program covers a wide variety of issues that a modern financial practice faces: •
Firm Value Proposition
•
Pricing of Services
•
Staffing
•
Client Segmentation
•
People Management
•
Referral Strategy
•
Technology
•
Succession Planning
•
Marketing
•
Programs
What We Offer: Recognition for Client Service Excellence At Signator Investors, Inc., we place enormous value on recognizing and rewarding client service excellence and dedication demonstrated by our outstanding financial advisors. This commitment is reflected through our Achieving Client Excellence Program (ACE), which includes:
The Practice Management Program has two levels of participation, so you can choose the one that works best for you:
■■
Financial incentives
■■
Access to customized practice management resources, including business valuation and consulting support
1. One-On-One Coaching—This is the most hands-on option. It is designed around a step-by-step program, guided by one of Signator’s practice management consultants.
■■
Invitation to annual recognition meeting
■■
pportunity to qualify for Signator’s most coveted awards, including the Practice of the Year Award O and the Financial Representative of the Year Award
■■
Additional benefits and priority services available to those who qualify for our highest level of recognition
2. Do-It-Yourself—This option provides some of the resources of the one-on-one track, but without the interactive guidance from a practice management consultant or some of the other interactive features, such as periodic assessments or subject matter study groups.
Sales Support Our Sales Consulting Team is dedicated to helping you navigate our open product platform by offering product agnostic sales support. The team is cross-trained on all product lines with each sales consultant focusing on a particular area. Whether it’s case consultation or helping you grow your business, the Sales Consulting Team takes a proactive approach to sharing sales ideas and best practices with you.
Technology At Signator Investors, Inc., we know how much you rely on technology to manage data and move your business forward while staying focused on meeting the needs of your clients. That’s why technology is such a primary focus for us. From mobile apps to e-signature to integrated business systems, you’ll find that our technology solutions not only support a full range of business models, but also integrate seamlessly with your practice. Additionally, our state-of-the-art technology platform allows you to utilize a wide range of proprietary systems and leading industry software, including:
Practice of the Year Award ACE qualifiers are eligible to apply for Practice of the Year, a unique recognition opportunity awarded to the practice that best demonstrates exceptional business building and exemplifies superior client excellence, as determined by an independent panel of industry experts.
Financial Representative of the Year Award The coveted Financial Representative of the Year Award goes to the top ACE qualifier and provides a unique recognition opportunity for the advisor that exemplifies leading business and client service excellence.
Exclusive Top Producer Program Benefits ACE qualifiers are eligible to participate in our Top Producer Program, designed to help you develop and implement a growth strategy to take your practice to new levels. This includes:
eFactFinder
Practice Valuation—Understand the current value of your practice, and uncover opportunities for future growth and continuity planning
Our electronic fact finder enables you to collect client information online and integrates seamlessly with our needs analysis and account opening software.
Business Health Check—Assess the overall health of your business and the areas where you can make improvements
Account Center Our proprietary business system allows you to view, process, and manage all your registered business online, aggregate client data, provide consolidated reports, and get business on the books faster while allowing you to stay focused on providing the highest level of customer service to your clients.
Client Satisfaction Survey—Learn about your business from a client perspective Staff Survey—Evaluate your relationship with your staff Coaching—Develop and implement an action plan to achieve your unique business vision
Compliance In today’s increasingly complex regulatory environment, Signator’s compliance and supervision teams are proactive in helping to protect your brand while you focus on working with your clients. Our support structure allows you to utilize a combination of local and national industry, legal, and compliance experts who understand your business and will work with you to help protect what you’ve built for your clients.
10
11
For additional information and to learn more about Signator, visit www.SignatorInvestors.com.
We are strongly committed to diversity and equal opportunity. Securities and Investment Advisory Services offered through Signator Investors, Inc. Member FINRA, SIPC, a Registered Investment Adviser, 197 Clarendon Street, Boston, MA 02116. www.SignatorInvestors.com
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4374-20140317-179085 SIICAPBRO 03/14
