2011 CLA Dinner Journal - Final

8/11/2019 2011 CLA Dinner Journal - Final

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A MESSAGE FROM KANDIS BATES

President, Invest in Others Charitable Foundation

I am honored to welcome you to the fth annual Community LeadershipAwards on behalf of the Invest in Others Charitable Foundation. Each

year this event reminds me why each of us should feel proud of being

part of the nancial services industry. Tonight you will hear stories of

incredible generosity, caring, and perseverance; you will learn about

nancial advisors who go to extraordinary measures to make our world

a better place; and you will be moved by a man who turned away from a

life of crime to be an amazing role model for young people whose next

choice could determine their future.

We are delighted to bring you Chef Jeff Henderson as our keynote

speaker this evening. Growing up in the tough streets of Central Los

Angeles, Jeff began selling drugs when he was just a teenchoices

that brought him down a dark and difcult path early in life. These

activities resulted in a 10-year prison term that, incredibly, planted the

seeds for a new life path. While incarcerated, Jeff learned to cook and

was determined to use his talents to begin his life over. And what hes

accomplished since is nothing short of amazing: he became an executive

chef, successful business owner, best selling author, and star of his own

TV show on the Food NetworkThe Chef Jeff Project, which provides

cooking scholarships to at-risk young adults who make it through his

six-week culinary boot camp. Jeffs story is an inspiration indeed and will

soon be made into a major motion picture.Jeffs example illustrates how one individual or one small act of kindness

can make all the difference in someone elses life experience, happiness,

and future opportunities. The nancial advisors we are honoring this

evening share equally stirring accounts of compassion, philanthropy,

and determination to help others. I know each of you will be moved

by hearing our nalists and honorees stories. In recognition of their

exemplary efforts, tonights honorees will be awarded an individually

crafted United sculpture that ttingly shows an individual helping

another rise above current circumstances.

Thank you for joining us and for supporting this special evening. Yourgenerosity as sponsors and attendees makes the Community Leadership

Awards possible and, more importantly, furthers the important work being

done by our nalists and the charities they support.


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A MESSAGE FROM SUZANNE SIRACUSE

VP/Publisher, InvestmentNews

Board Member, Invest in Others Charitable Foundation

Welcome to the fth annual Community Leadership Awards.

All of us at InvestmentNewswish to congratulate the nalists on theoutstanding contributions they have made to their communities. We are soproud to be able to honor them all here tonight.

The Community Leadership Awards were established in 2007 to recognizeand celebrate nancial advisers across the nation for exemplifying what itmeans to be a true community leader.

Working closely with the Invest in Others Charitable Foundation hasbeen a rewarding experience for InvestmentNews. It has afforded me anopportunity to see how seless so many people in the nancial advisory

industry truly are and how these individuals give of themselves withoutseeking anything in return.

Once again, we received hundreds of entries for the Community LeadershipAwards this year, a tremendous response that showcases the level ofinvolvement the adviser community has in changing the lives of others.Narrowing down the decision to just three nalists per category wasextremely challenging. We were truly moved by the generosity andcommitment to the community that each and every entrant has shown.

The September 12 issue of InvestmentNewshighlights the 2011 nalists,not only so our readers can learn more about them and their charities, butalso to communicate their message to thousands of other advisers who can

be inspired by their stories.

I would like to thank all the judges who helped InvestmentNewsdeterminethe nalists. They are Dale Brown from the FSI, Terry Headley from NAIFA,Kevin Keller from the CFP Board, John Maurello from SIFMA, Jim Penistonfrom the Foundation for Financial Planning, John Rogers from the CFAInstitute, David Sobel from the NAIBD, Dave Tittsworth from the Investment

Advisers Association, Ellen Turf from NAPFA, Marv Tuttle from the FPA,Sean Walters from IMCA, and Cathy Weatherford from the IRI. Their timeand thoughtfulness in this process are much appreciated.

A special thank you to our partners at the Invest in Others Charitable

Foundation for hosting tonights dinner as well as to all sponsors who madethis event possible.

Finally, thanks to all of you who are here tonight to show your support forthese wonderful role models within the nancial advisory industry. I am surethis evening will prove to be very inspirational for us all.

We look forward to next years program and hope to see you all there. Wehope that tonights recognition of the efforts of our nalists and of all nomineeswill encourage even more advisers to share their stories with us in 2012.


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MISSION STATEMENT

Making a Difference

MISSION

Established in 2006, the Invest in Others Charitable Foundation is a registered

501(c)(3) public charity founded with the mission of encouraging and supporting the

philanthropic and volunteer activities of nancial advisors in their local community.

KEY OBJECTIVES

Our mission is achieved through a community-based approach to philanthropy that

seeks to strengthen neighborhoods from within by empowering nancial advisors who

are committed to serving others in their businesses and personal lives. As mentors,

volunteers, fundraisers, and leaders, nancial professionals lend their unique skills

and perspectives to the challenges and opportunities facing their neighbors. Invest in

Others is proud to support and promote these efforts to better our world one community

at a time.

RECOGNIZING EXEMPLARY PHILANTHROPY

To honor excellence in philanthropy, the Invest in Others Charitable Foundation

established the annual Community Leadership Awards dinner. This event celebrates

nancial advisors from across the nation who have been nominated by their peers for

both exemplifying great leadership qualities in the industry and actively volunteering

to improve their communities and make a difference in the lives of others. The awards

dinner recognizes these individuals and the charities they support, and the Foundation

makes a generous contribution to these nonprot organizations to help advance their

important causes.

www.investinothers.org


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2010Community Leadership Awards


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KEYNOTE SPEAKER

Jeff Henderson is an award-winning chef,

motivational speaker, New York Timesbest

selling author, and Food Network television

personality. He captivates audiences across

the country with his triumphant story of

change and the power of potential.

Jeff grew up on the tough streets of Central

Los Angeles and San Diego. By the time he

was 19, he was running a $35,000-a-week

drug operation. At 24, he was arrested and

spent the next 10 years in prison. It waswhile incarcerated that he discovered a

passion for cooking and committed himself to

turning his life around.

After nearly a decade behind bars, Jeff

transitioned back into an environment that

was as intimidating and hostile as prison.

Having no formal education and needing

to overcome the stigma of a criminal

background, he struggled for years in the

hospitality industry. But, with persistence anddetermination, he was able to achieve his

dreams, eventually becoming the executive

chef of Caf Bellagio in Las Vegas.

His story was rst told in the New York Times

best selling memoir, Cooked: From the

Streets to the Stove. Today, Jeff is the Food

Network personality behind The Chef Jeff

Project, which takes six at-risk young adults

and commits to turning their lives around

by putting them to work for his catering

company, Posh Urban Cuisine, and providing

them with the knowledge, skills, and,

ultimately, the opportunity for a new life with

a culinary career. The show also inspired the

companion cookbook, Chef Jeff Cooks: In

the Kitchen with Americas Inspirational New

Culinary Star.

Jeff uses reality-based education to inspire

audiences to take charge of their lives and

become a driver on the freeway towards their

dreams. He gives them effective and simple

ways to implement strategies to navigate

them through the detours and roadblocks

along the way.

A wide range of industriesfrom hospitality

and restaurant to urban workforce,

healthcare, banking, and technologyhave

sought after Jeffs message. Audiences nd

his use of storytelling and humor not only

memorable, but also captivating. Jeff is the

voice of personal and professional change,

distinguishing him as a leading authority on

human potential.

Chef Jef f HendersonPresented by TD Ameritrade Institutional

From the Streets to the Stove:The Power of Change


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Youth Arts Academy of the Center for Arts & CultureBedford Stuyvesant Restoration Corporation

Brooklyn, NY

2 0 1 1 M u s i c a l E n t e r t a i n m e n t

The Bedford Stuyvesant Restoration Corporation (Restoration), the nations rst community

development corporation, partners with residents and businesses to improve the quality of life in

Central Brooklyn by fostering economic self-sufciency, enhancing family stability and growth, and

promoting the arts and culture.

Restoration offers a full spectrum of programmingincluding performing arts, nancial literacy, and

work readinessdesigned to transform the community into a vibrant and dynamic place to live, work,

and visit. A 501(c)(3) nonprot corporation, Restoration was founded in 1967 by Senators Jacob K.

Javits and Robert F. Kennedy together with community leaders. Today it is a dynamic institution thatcreates signicant, sustainable, and demonstrable impact, improving the well-being of local residents

and businesses.

Invest in Others is proud to present the Youth Arts Academy (YAA) and its mentors as the musical

entertainment this evening. These talented young artists have trained in New York City public schools

afliated with the Restoration Youth Arts Academys Arts In Action community outreach component.

They have appeared at the annual Youth Jazz Jamboree at Restoration in association with the

Central Brooklyn Jazz Consortium. Restorations Center for Arts and Culture (CAC) provides year-

round training and performance opportunities in music, dance, and theatre. The academy serves

more than 250 students onsite and approximately 1,200 students in New York City public schools

through the CAC residency program. YAA is known for unique and successful programs, such as

pairing professional musicians with emerging young artists to spotlight neighborhood talent and

cultivate their development. This program provides a productive place for youth of promise to learn

from veteran jazz musicians and aims to preserve our countrys rich jazz heritage.

To learn more about YAA and how it is continuing to improve the lives of the people of Brooklyn, visit

RestorationPlaza.org | Family Services | Youth Arts Academy.


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Invest in Others would like to extend a very special thank you to the companies listed

below for their support of the Foundation and the Community Leadership Awards.

KEY CONTRIBUTORS*Thank you for your generosity

PLATINUM KEYNOTE SPEAKER

TD Ameritrade Institutional

GOLD

Bank of America Merrill Lynch

Goldman Sachs

InvestmentNews**

Lincoln Financial Group**

Morgan Stanley

SILVER

Hellman & Friedman LLC**

Legg Mason GlobalAsset Management**

NATIXIS Global Associates**

Solebury Capital LLCTPG Capital, L.P.**

VIP RECEPTION

Grubb & Ellis Equity Advisors

BRONZE

Advisor Software, Inc.

Alger

Ameriprise Financial

Broadridge Financial Solutions, Inc.

Cambridge Investment Research, Inc.

CNL Securities

Columbia Management**

Dreyfus

Fidelity Investments

Genworth Financial

The Hartford

John Hancock Financial Services

Macquarie Capital

Nationwide

Sanford C. Bernstein

UnitedHealthcare

COMMUNITY

Behringer Harvard

BlackRock

Cetera Financial Group

Charles Schwab Advisor Services

Cole Real Estate Investments

Deloitte & Touche LLP

DWS Investments

Invesco

Ivy FundsKekst and Company

Lord Abbett & Co**

Morningstar, Inc.**

New York Life/MainStay Investments**

Northstar Research Partners

Pioneer Investments

Putnam Investments

Ropes & Gray LLP

Sowell Management ServicesT. Rowe Price Associates, Inc.

U.S. Executive Search, Inc.**

Wells Real Estate Funds

WilmerHale

DINNER JOURNAL

Optima Group, Inc.

Thomson Reuters**

*Sponsors as of print dat

** Five-year key contributor

**

**

**


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es

Thank you to this years judges who dedicated their valuable

time to the 2011 Community Leadership Awards.

Dale E. Brown, CAE

President and CEO

Financial Services Institute (FSI)

Evan Cooper

Deputy Editor

InvestmentNews

Terry Headley

President

National Association of Insurance

and Financial Advisors (NAIFA)

Kevin R. Keller, CAE

CEO

CFP Board of Standards

John J. Maurello

Managing Director, Private Client GroupSecurities Industry and Financial Markets

Association (SIFMA)

Caitlin Mollison

Managing Editor

InvestmentNews

Jim Pavia

Editor

InvestmentNews

James A. Peniston

Executive Director

Foundation for Financial Planning

John D. Rogers, CFA

President and CEO

CFA Institute

Suzanne Siracuse

VP/Publisher

InvestmentNews

Board Member

Invest in Others Charitable Foundation

David Sobel

ChairmanNational Association of Independent

Broker/Dealers (NAIBD)

Dave Tittsworth

Executive Vice President and

Executive Director

Investment Advisers Association (IAA)

Ellen Turf

CEO

The National Association of PersonalFinancial Advisors (NAPFA)

Marvin W. Tuttle, Jr.

Executive Director and CEO

Financial Planning Association (FPA)

Sean R. Walters, CAE

Executive Director and CEO

Investment Management Consultants

Association (IMCA)

Cathy Weatherford

CEO

Insured Retirement Institute (IRI)

JUDGES


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Five years of changing lives, one community at a time.

the generous grant we received from Invest

in Others will fund the construction of our Clinica

Dulce Refugio medical centers second oor,

where we hope to have our own operating and

delivery rooms supporting underserved families

in the villages of Chimborazo Province, Ecuador.

Thanks to Invest in Othersour reputation

and services continue to grow and we have

become an important symbol in this indigenous

community for which we are forever grateful.

Paul R. Martel2010 Honoree, Global Community Impact

Centro Medico Integral Dulce Refugio

YHB Investment Advisors, Inc.

If you feed these kids, they will learn. If you feed

them, their parents will leave them in school. In

our case, our kids dont have the Red Cross or the

government for back-up. The thing theyve got is us.

I tell people all the time, Im the luckiest guy in the

world because I have this. Where else can you raisemoney and go down and see what the money youve

raised has accomplished? Ninety percent of these

kids didnt eat yesterday but theyre eating today.

Thats what I can do. Thats what I can control.

Bob Wamhoff

2009 Honoree, Community Service

Just Because We Care

Wamhoff Financial Planning &

Accounting Services, Inc.

What you do on a day-to-day basis is important in

keeping people from outliving their income, but when

you do something like this, youre keeping people

alive. You cannot measure wealth by the things you

have. You have to measure it by the things for which

you wont take any amount of money.

Ruth W. Lentz

2010 Finalist, Global Community Impact

West Tennessee Haiti Partnership

Wells Fargo Advisors

What amazed me about this group of nancial

planners is that each had their own initiative that

personally reects their passion, and each project

was the result of seeing a problem that they

wanted to help.

Blake Mycoskie

2008 Community Leadership Awards

Keynote Speaker

Founder & Chief Shoe GiverTOMS Shoes

Most of our kids were living on their own. They lost

their family to AIDS and many were in child-headed

households where you have a six- and four-year-

old living on their own trying to make ends meet or

begging to stay alive. The need is so overwhelming.

We get calls every week to take additional children.

Its not much different than what youd try to provide

your own child or grandchild. I have another reason

now to make money and serve clients.

Bob Solis

2010 Finalist, Global Community Impact

Opens Arms for Children

Morgan Stanley Smith Barney


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Community Leadership Awards Final is ts

CONGRATULATIONS

COMMUNITY SERVICE

Richard S. Brown

Special Olympics Minnesota

JNBA Financial Advisors


Michael Curran

Triangle Aquatic Center

CAPTRUST Financial Advisors

CapFinancial Partners LLC

Dennis Stearns

YMCA of GreensboroStearns Financial Services Group

Charles Schwab Advisor Services and


GLOBAL COMMUNITY IMPACT

Bruce Kusmin

The Global Orphan Project

Mariner Wealth Advisors

Fidelity Institutional Wealth Services and


David Polstra

Medical Missions Ministries

Brightworth


Stephen Werner

HEART: Health Education Africa Resource Team

Exemplar Financial Network

Financial Network Investment Corporation

MENTORING EXCELLENCE

David Benning

Big Brothers Big Sisters of the Greater Twin Cities


Grant Blindbury

Big Brothers Big Sisters of Ventura County

FMB Wealth Management

Independent Financial Group

Gerald L. Ray

Aggies on Wall Street at Texas A&M University

Gerald L. Ray and Associates, Ltd.

Charles Schwab Advisor Services and


VOLUNTEER TEAM

Randy Carver

Rotary Club of Mentor - Bone Marrow Project

Carver Financial Services, Inc.

Raymond James Financial Services Inc.

Barry Engelman

National Multiple Sclerosis Society,

Southern California & Nevada Chapter


E.J. and Laura Rabell

National Multiple Sclerosis Society,Mid-Atlantic Chapter

Defender Capital

LPL Financial

VOLUNTEER OF THE YEAR

Mary Bersot

MedShare International

Bersot Capital Management LLC

Fidelity Institutional Wealth Services

Germaine Broussard

TroopTreats.com


Andy Seth

Minds Matter of Denver

LotusGroup Advisors



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2011Community Leadership AwardsFINALISTS

Honoring the philanthropic spirit of

nancial advisors in ve distinctive categories.

COMMUNITY SERVICE

Presented to an advisor who has made managerial contributions to a

local, nonprot organization as a fundraiser, organizer, board member, orother executive position over a period of at least ve years, has made an

outstanding contribution to the community, and has served with distinction.

GLOBAL COMMUNITY IMPACT

Presented to an advisor who has been actively serving for at least two

years as a volunteer with a charity whose primary mission is to help

those who live outside the United States, and whose efforts have made

a lasting impact on a community outside the U.S.

MENTORING EXCELLENCE

Presented to an advisor who has been actively mentoring a young adult

for at least two years and has demonstrated qualities as a role model

and champion for youth in his/her local community.

VOLUNTEER TEAM

Presented to a team of advisors and/or ofce staff for their current,

collective involvement of at least three years as volunteers for a charity

in their local community.

VOLUNTEER OF THE YEAR

Presented to an advisor who has been actively serving as a volunteer at one

or more local nonprot organizations for at least two years and has made a

contribution considered to have a lasting impact in his/her community.

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Community Service

RICHARD S. BROWN

Special Olympics Minnesota

JNBA Financial AdvisorsTD Ameritrade Institutional

Why would 11,000 Minnesotans jump into a frozen lake in the

middle of winter?

Its for a great cause and its fun, said Richard S. Brown, leaderof one of the largest Polar Bear Plunge teams raising funds

for Special Olympics Minnesota. The state chapters 21,000

volunteers and 32 employees support some 7,000 athletes with

intellectual disabilities.

Mr. Brown, chief executive of JNBA Financial Advisors in

Minneapolis, was inspired to get involved with Special Olympics

many years ago by a speech by a Special Olympics athlete.

He talked about teamwork, competition, and playing fair, Mr.

Brown recalled. He said, If you can change your thoughts,you can change your world. Those words made a great impact

coming from someone who had great challenges.

Mr. Browns enthusiasm and nancial leadership have resulted in

dramatic fundraising success: Participation and donations have

increased by 45% every year for the last ve years. He recently

expanded his team to a new city, rallying university students and

faculty, city ofcials, and citizens to come out in support.

As nancial advisors, we create success not only for our clients,

but also for our communities by listening, learning, helping, and

leading, he said.


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Community Service

MICHAEL CURRAN

Triangle Aquatic Cent er

CAPTRUST Financial AdvisorsCapFinancial Partners LLC

Ive always had a passion for making a difference, said

Michael Curran, senior vice president of CAPTRUST

Financial Advisors in Raleigh, NC.

Mr. Curran is the guiding force behind the three-year-old

Triangle Aquatic Center (TAC) in Cary, NC, a $22.5 million

nonprot aquatic facility built using only private donations.

TAC serves some 420,000 visitors per year, providing critical

programs such as Make a Splash, which provides free swim

lessons to low-income children.

Though Mr. Curran downplays his drive and inuence, they

are hard to overlook. Since founding TAC, he has served as

its general contractor, primary fundraiser, board president,

and, recently, executive director.

I had a good business background, Mr. Curran said.

My strength was heading up the effort and helping staff

understand business metrics and practices.

What I enjoy the most now is watching the baby swim

classes seeing the moms holding the babies and the dads

holding the video cameras, he said.

He is also gratied by the Make a Splash classes. Every day

across the country, children are drowning because they dont

know how to swim, he said. With this program, you know

you are saving lives.


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Community Service

DENNIS STEARNS

YMCA of Greensboro

Stearns Financial Services GroupCharles Schwab Advisor Services andTD Ameritrade Institutional

Since 2005, the leadership and foresight of Dennis Stearns has

steered the YMCA of Greensboro, NC, down a path that has

allowed it to survive through and even thrive in the GreatRecession.

As a member of the Ys regional board, he helped develop a

scenario analysis for the organization which has 35,000

members and seven local branches in case of an economic

downturn.

The analysis provided in 2005 later proved valuable. We

found that we were mainly doing well, but we needed to adjust

our core business, marketing, and investment strategies plus

enhance customer service at some of our branches, said Mr.

Stearns, who is president of Stearns Financial Services Group in

Greensboro.

The small things are sometimes the big things, he said. For

example, we made sure that every employee had a nice word to

say, that they were helpful in different ways to our members

similar to the Disney way.

Staff development became key employees regularly attend

development programs to build their leadership and job skills. Inaddition, the Y enhanced their formal partnerships with over 100

local organizations to promote health and wellness.

One of my philosophies is: Dig your well before youre thirsty,

Mr. Stearns said. We did a lot to protect our Ys ability to

positively impact the community.


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Global Community Impact

BRUCE KUSMIN

The Global Orphan Project

Mariner Wealth AdvisorsFidelity Institutional Wealth Services andCharles Schwab Advisor Services

My life isnt only about my business. Working with The

Global Orphan Project helped me nd my purpose, said

Bruce Kusmin, co-founder of Mariner Wealth Advisors inLeawood, KS.

The Global Orphan Project was founded in 2003 to build a

supportive infrastructure for orphans in their home countries.

The organization works with local churches to construct

villages that include orphanages (affectionately referred to as

homes), schools, cafeterias, and businesses to sustain the

community. There are now about 140 homes in 40 villages

in countries such as Haiti, Uganda, and the Philippines,

altogether helping 3,500 orphans.

Mr. Kusmin was introduced to the Project when he helpedits founders, who are also his clients, transition from the

corporate world to the philanthropic world.

As a board member, Mr. Kusmin is involved with fundraising,

public relations, and outreach.

I lead vision trips to Haiti to inspire people and build

awareness. In 2011 so far, 600 people have gone. Theyre

usually afliated with a church or business that supports us,

or they come because friends tell them what a life-changing

experience it was, he said.

It puts things back into perspective pretty quickly the local

people nd joy in simple things.


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DAVID POLSTRA

Medical Missions Ministries

BrightworthCharles Schwab Advisor Services

David Polstra remembers thinking, Theres no way Im going

on an overseas mission. But after participating in an eight-

day mission trip to Guatemala in 1991, he returned home a

changed man.

I felt I had to make a choice in my attitude: Either think been

there, done that or answer the calling to make a difference.

He heeded the call, leading his own mission in 1992 on behalf

of Medical Missions Ministries, which provides free medical

clinics for impoverished rural Guatemalans. He has continued

to travel to Guatemala almost every year since.

Mr. Polstra, an advisor with Brightworth in Atlanta, GA, has

served on the board of directors of Medical Missions Ministriesfor 17 years, applying his administrative talents and nancial

expertise to setting up nancial systems, fundraising, recruiting

volunteers, procuring medicines, and facility planning.

Under his guidance, the organization has grown from one

doctor and three mission trips a year to a full-time staff of 10

and 29 trips serving 3,000 patients annually. The ministry also

provides microenterprise training.

Keeping the organization running smoothly and scally sound

is Mr. Polstras behind-the-scenes gift. He jokingly tells the

doctors, You prescribe the medicines; let me count the money.



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STEPHEN WERNER

HEART: Health Education Africa

Resource Team

Exemplar Financial NetworkFinancial Network Investment Corporation

If you educate a woman, you educate a family, said

Stephen Werner, an advisor with Exemplar Financial Network

in Walworth, WI, explaining the inspiration behind his

involvement with HEART: Health Education Africa Resource

Team.

The nonprot focuses on disease prevention and empowerment

for African women and children. Mr. Werner has raised about

$50,000 for one of HEARTs more unusual programs, which

distributes previously unavailable personal products to 2,000

girls in 36 Kenyan schools every year. Without these small

necessities, girls miss many school days each year, increasing

their risk of dropping out.

Mr. Werner is active with another charitable cause in Kenya,

the Hopewell Education Centre. Located in a large slum, the

organization provides education to 700 children, mostly orphans

and street kids. Until recently, their classrooms were tin sheds

and they had no clean drinking water.

Working with U.S. Rotary clubs, Mr. Werner raised more

than $40,000 to build a water treatment facility, permanent

classrooms, a library, and a community center for the campus.

Mr. Werner is not shy about fundraising. I believe in the

three-foot rule, he said. If youre within three feet, youre a

potential donor.


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DAVID BENNING

Big Brothers Big Sisters

of the Great er Twin Cities


Im interested in giving kids equal opportunity, said David

Benning, an advisor with Ameriprise Financial in Minneapolis,

MN.

Kids dont get a lot of choices in the hands theyre dealt,

whether its parents, education, or resources, he said.

Mr. Benning was inspired to become a Big Brother six years

ago, when he signed on with Big Brothers Big Sisters of the

Greater Twin Cities.

I had a moment of clarity I realized I wasnt living my

values. Ive had a lot of advantages in my life, so I feel its

important to give back, he said.

Mr. Benning has a close relationship with his Little Brother.

A lot of what you give is presence that takes the

pressure off, knowing you dont need to come up with a

big plan. I just incorporate him into my life. We go grocery

shopping, do yardwork, and the like. I try to be consistent

and talk to him on a regular basis. Its important he knows Im

there, Mr. Benning said.

Mentoring is the easiest volunteer work in the world. Its not

as big a time commitment as people think. Giving a kid evenan hour a week could change the course of his life.

Mentor ing Excel lence


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GRANT BLINDBURY

Big Brothers Big Sisters

of Ventura County

FMB Wealth ManagementIndependent Financial Group

Youre never too young to have an impact or make a

difference, said Grant Blindbury, a partner at FMB Wealth

Management in Westlake Village, CA.

During his senior year at UCLA, Mr. Blindbury became a Big

Brother to an eight-year-old inner-city boy. And even though he

moved an hour away after graduation, Mr. Blindbury continued to

regularly visit his Little, maintaining the relationship for 11 years.

Three years ago, he asked Big Brothers Big Sisters of Ventura

County (CA) how he could help, and it promptly added him to

the board.

I bring a good perspective as a different generation and as

a long-time Big, Mr. Blindbury said. Im able to serve as

an example if Im young and starting a family and I can

volunteer, so can you.

In addition to fundraising and event planning, he has

developed and implemented a planned-giving program for the

organization.

His volunteer experiences have brought Mr. Blindbury closer to

his older clients.

I think they realize that his priorities are more in line with mine

than I thought maybe he does have the perspective and

clarity that Im looking for.


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GERALD L. RAY

Aggies on Wall Street a t

Texas A&M Unive rsity

Gerald L. Ray and Associates, Ltd.Charles Schwab Advisor Services andTD Ameritrade Institutional

Gerald Ray loves his alma mater, Texas A&M University, and

wants to share the positive energy of its students with the

nancial world.

As a patriarch of the Dallas business community, he has

developed life-long mentoring relationships with many of the

schools business students.

I dont think Id be nearly as positive about the direction of the

country if I didnt have the experience and good fortune to hear

these young people out, Mr. Ray said. Their message is to be

positive and its not entirely due to youth. They have a greatunderstanding of whats proper and ethical.

To promote Texas A&M students, Mr. Ray, chairman of Gerald L.

Ray and Associates, Ltd., co-founded the Aggies on Wall Street

program so that Texas A&M business students could experience

Wall Street rsthand.

During the three-week program, students visit Wall Street rms

and stock exchanges while networking with former students now

working in the industry. Several hundred have gone through the

program since it was established more than 15 years ago.

These activities and relationships have opened many doors to

Texas A&M alumni who want to work on Wall Street. Its like

bringing the ethics of the heartland to Wall Street, Mr. Ray said.


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Volun teer Team

RANDY CARVER

Rotary Club of Mentor -

Bone Marrow Project

Carver Financial Services, Inc.Raymond James Financial Services Inc.

The employees of Carver Financial Services in Mentor, OH,

are fundraising and food-raising champs.

The team organizes and runs an annual golf outing that has

netted about $70,000 over the past 14 years for the Rotary

Club of Mentors bone marrow project. But thats only half

of what they raised another $70,000 has gone to support

other local and national charities.

Carver Financial employees also have held food drives that

have yielded more than 40,000 pounds of food for needy

families over the past 20 years.

We denitely believe in social capital, said Randy Carver,

the rms founder. Its also good business. We get a lot of

good PR. The more philanthropic things we do, the more

happens for the company, he said.

The Carver Financial team has a formidable source of

inspiration in the boss. Hes survived a plane crash that

crushed his voice box. And hes won eight bouts of cancer,

which resulted, he said, in the removal and rearrangement of

a number of his body parts Mr. Carver truly sets the bar for

achievement against all odds.


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Volun teer Team

BARRY ENGELMAN

National Multip le Sclerosis Society,

Southern California & Nevada Chapter


Everyone seems to know someone who has MS, said Barry

Engelman, an advisor with Ameriprise Financial in Los Angeles,

CA, explaining in part his teams impressive fundraising success

on behalf of the National Multiple Sclerosis Societys Southern

California and Nevada chapter.

The team has raised $600,000 over the past nine years

through a combination of sponsored walks, bicycle runs, poker

tournaments, kickball games, and other activities.

We, as a family, made a decision to do everything we could to

raise money to nd a cure after our son was diagnosed with MS

10 years ago, Mr. Engelman said.

The fundraising team has grown every year, drawing advisors

from nearby Ameriprise Financial ofces.

As they came out for events, they became devoted to the

cause. There has been an ever-widening group of supporters

as they spread the word to their clients, family, and friends, Mr.

Engelman said.

Wed like to think our activities and contributions have helped

speed the research that brings us closer to a cure, he said.

Indeed, Mr. Engelmans son has started on the rst oral MSdrug ever available.

This is very satisfying work we have a number of clients with

family members who have MS, and were doing something for

them, he said.


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Volun teer Team

E.J. & LAURA RABELL

National Multip le Sclerosis Society,

Mid-Atlantic Chapter

Defender CapitalLPL Financial

For the employees of Defender Capital in Charlotte, NC,

volunteering for the mid-Atlantic chapter of the National Multiple

Sclerosis Society has become a way of life.

Having a co-worker with MS makes them much more involved

and passionate about the cause, said E.J. Rabell, a Defender

Capital associate who was diagnosed with the disease 10

years ago.

Mr. Rabell got a somber look at his own future when his legs

went numb and lesions were found on his spine. However, he

has been symptom-free since completing an intensive course

of physical and drug therapy.

It was a glimpse of what its like to have MS. Its the catalyst

behind my volunteer efforts. I know each day is a gift, he said.

Mr. Rabell and his wife, Laura, who also works for Defender

Capital, are rising stars in the chapter; theyve piloted a day

of service for area families dealing with MS, created a young

professional group that raises funds to support the chapter,

and plan an annual fundraising gala. Their Defender Capital

colleagues always help out with logistics, event sponsorship,

and other volunteer tasks.

Giving back to the community builds a bond between our

company and our clients. It gives us a perspective on whats

important in life, he said.


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Volun teer of the Year

MARY BERSOT

MedShare International

Bersot Capital Management LLCFidelity Institutional Wealth Services

MedShare International may not be a household name yet,

but Mary Bersot is striving to x that.

The Georgia-based organization collects surplus medical

supplies and equipment from hospitals, medical distribution

companies, and individual donors. It then solicits cash

contributions to ship these items to impoverished healthcare

facilities in the developing world and to free clinics in the U.S.

Since 2008, Ms. Bersot, CEO of Bersot Capital Management

LLC in Larkspur, CA, has led the effort to grow and promote

MedShares expansion beyond Georgia by leasing a

warehouse in California. The organization currently collects

medical surplus from 60 hospitals in the two states.

In the past 18 months, Ms. Bersot has raised $100,000 to

help fund shipments of supplies to Haiti and American Samoa

for earthquake and tsunami relief, respectively. She also

secured a $270,000 in-kind donation of medical supplies and

recruited high-level community leaders to promote awareness

of MedShare on the West Coast.

For me it was a very easy decision to get involved in

MedShare because Ive witnessed the primitive condition of

clinics in Africa, Ms. Bersot said.

I believe that providing better quality medical care for the

underserved here and internationally is critical for a healthy

world, she said.


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GERMAINE BROUSSARD

TroopTreats.com


Germaine Broussards story illustrates how a small act of

kindness can snowball into a genuine movement.

In 2003, Ms. Broussard, an advisor with Morgan Stanley Smith

Barney in McLean, VA, began baking cookies for four servicemenabroad. Along with the cookies, she sent a handwritten note and

a special request: Give my name to a friend.

She received names lots of names. After about 18 months,

it became an avalanche. In 2005, I was given a ship 250

sailors, she said.

By 2007, she was baking for 1,500 marines still single-

handedly, and still with a personal note for each. She says she

can bake 3,000 cookies in a weekend.

Word continued to spread and volunteers surfaced to join Ms.

Broussards efforts, which today reach 20,000 troops a year.

Hundreds of volunteers nationwide prepare thousands of bags,

which now include snacks and toiletries.

I have a lady in Texas who just writes notes, Girl Scout troops

in two states that do bagging parties. High school kids get

community service hours for helping, she said. Other volunteers

also create Christmas stockings and serve as pen pals.

One person can make a difference thats the whole point,

she said.


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ANDY SETH

Minds Matter of Denver

LotusGroup AdvisorsTD Ameritrade Institutional

Andy Seth combines entrepreneurial zeal and deep-seated

compassion.

A businessman since he was 13, Mr. Seth, founder of LotusGroupAdvisors in Denver, applies his skills to his volunteer work with

Minds Matter of Denver, an after-school program for high-potential

high school students from low-income families.

I was one of these students, he said. My striving parents were

immigrants from India and I grew up in a motel in L.A. Ive lived

that fear of not having money. Education was my way out.

Minds Matter students work intensively for three years with

mentors who guide them through rigorous coursework, career-focused activities, and the college admissions process.

The organization has had a 100% success rate getting students

into college, often with substantial scholarship assistance.

Mr. Seth has had a strong impact on Minds Matter.

Over the past three years, weve doubled the number of

volunteers, the number of mentees, and the number of donors. In

ve years, well double our number of students served thats a

promise, he said.


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Allianz Life Insurance Company of North America

5701 Golden Hills Drive

Minneapolis, MN 55416-1297

800.950.5872

www.allianzlife.com

ENT-1227 (8/2011)

Congratulations toall 2011 Leadership

Award finalists.We appreciate the remarkablecontributions youre each

making to your communities.


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Thank you for the

Return

OfInspiration

As a sponsor of the Community Leadership Awards from the beginning,

we are connually awed and inspired by the honorees and their stories

of community stewardship.

As discerning stewards of investment capital, we build porolios around core asset class strengths

in xed income and domesc and foreign equies. We manage strategies with specialized teams,

led by porolio managers with deep industry experience. The foundaon of each investment discipline is a

commitment to independent fundamental research combined with close aenon to managing downside risk.

Since 193, Sennel Investments has built an investment culture that seeks to deliver and reward consistency

even when the markets do not. Disciplined growth through a focus on risk management is our dening quality.

We call it a standard of stewardship, and strive to live up to the examples Invest in Others has shown us.

Consider a funds objecves, risks, charges and expenses carefully before invesng. The prospectus contains this and other informaon and is available fromyour nancial advisor or www.sennelinvestments.com. Please read it carefully before you invest.

Sennel Investments is the unifying brand name for Sennel Financial Services Company, Sennel Asset Management, Inc., and Sennel Administrave ServiceSennel Funds are distributed by Sennel Financial Services Company, One Naonal Life Drive, Montpelier, VT 05604, 800-282-FUND, sennelinvestments.com

..FUND | www.sennelinvestments.com


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50 Rockefeller Plaza New York, NY 10020 1-800-WP CAREY www.wpcarey.com

Investing for the Long Run

W. P. Carey & Co. LLC (NYSE: WPC) is an investment management company that seeks to provide long-term sale-leaseback and build-

to-suit financing for companies worldwide and manages a global investment portfolio of approximately $11.5 billion. Through its

CPAseries of non-traded REITs, we help companies and private equity firms release capital tied up in real estate assets.

W. P. Carey Congratulates the Finalists of the2011 Community Leadership Awards

Community ServiceRichard S. Brown,JNBA Financial Advisors

Michael Curran, CAPTRUST Financial AdvisorsDennis Stearns, Stearns Financial Services Group

Mentoring ExcellenceDavid Benning,Ameriprise Financial Services

Grant Blindbury, FMB Wealth Management

Gerald Ray, Gerald L. Ray and Associates

Volunteer of the YearMary Bersot, Bersot Capital Management LLC

Germaine Broussard, Morgan Stanley Smith Barney LLC

Andy Seth, LotusGroup Advisors LLC

Global Community ImpactBruce Kusmin, Mariner Wealth Advisors

Dave Polstra, Brightworth

R. Stephen Werner, Exemplar Financial Network

Volunteer TeamRandy Carver, Carver Financial Services Inc.

Barry Engelman, Ameriprise Financial Services

E.J. and Laura Rabell, Defender Capital


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COMMUNITY SERVICE AWARD

RICHARD S. BROWN

JNBA Financial Advisors

Charity: Special OlympicsMinnesota

MICHAEL CURRAN

CAPTRUST Financial Advisors

Charity: Triangle Aquatic Center

DENNIS STEARNS

Stearns Financial Services Group

Charity: YMCA of Greensboro

GLOBAL COMMUNITY IMPACT AWARD

BRUCE KUSMIN

Mariner Wealth Advisors

Charity: The GlobalOrphan Project

DAVID POLSTRA

Brightworth

Charity: Medical MissionsMinistries

STEPHEN WERNER

Exemplar Financial Network

Charity: Health Education AfricaResource Team (HEART)

MENTORING EXCELLENCE AWARD

DAVID BENNING

Ameriprise Financial Services, Inc.

Charity: Big Brothers Big Sistersof the Greater Twin Cities

GRANT BLINDBURY

FMB Wealth Management

Charity: Big Brothers Big Sistersof Ventura County

GERALD L. RAY

Gerald L. Ray and Associates, LTD.

Charity: Aggies on Wall Street atTexas A&M University

VOLUNTEER TEAM AWARD

RANDY CARVER

Carver Financial Services, Inc.

Charity: Rotary Club of Mentor,Bone Marrow Project

BARRY ENGELMAN

Ameriprise Financial Services, Inc.

Charity: National MultipleSclerosis Society, SouthernCalifornia & Nevada Chapter

E.J. & LAURA RABELL

Defender Capital

Charity: National MultipleSclerosis Society,Mid-Atlantic Chapter

VOLUNTEER OF THE YEAR AWARD

MARY BERSOT

Bersot Capital Management

Charity: MedShare International

GERMAINE BROUSSARD


Charity: TroopTreats.com

ANDY SETH

LotusGroup Advisors

Charity: Minds Matter of Denver

t d a i n s t i t u t i o n a l . c o m


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Goldman, Sachs & Co., 2011. All rights reser ved.

Goldman Sachs is proud to support

Invest in Others Charitable Foundation.


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InvestmentsandservicesofferedthroughMor

ganStanley&Co.

LLC,

memberSIPC.

2

011MorganStanley

Morgan Stanley is proud to support


Community Leadership Awards


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NASDAQ OMXcongratulates all 2011 Community Leadership Awards honorees

Dream. Do.

Two verbs too often separated.

Dream without doing and your ideas wither on the vine.

Do without dreaming and you bring nothing new to the world.

But the moment dream and do come together, great things happen.

Medical breakthroughs happen. Tech revolutions happen.

A greener planet happens.

One global exchange is dedicated to helping those who dream it,do it, no matter how steep the climb: NASDAQ OMX.

Thats why, every day, we give the worlds most innovative

ideas the most innovative means of execution.

Looking to take a dream as far as it will go?

Consider this your launch pad.

Copyright 2011, The NASDAQ OMX Group, Inc. All rights reserved. Q11-1292


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Doing Good Is Always a Great Investment.

Commonwealth Financial Network and Commonwealth Cares


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Hellman & Friedman

salutes Invest in Others

and the outstanding group oftonights committed

fnancial advisors.

HELLMAN& FRIEDMANLLC


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Where there ischarity and wisdom,

there is neither fearnor ignorance.St. Francis of Assisi

Thank you for your service to your

community and to our industry.

Were honored to work among you.

Batterymarch I Brandywine Global I ClearBridge Advisors I Esemplia Emerging Markets

Global Currents I Legg Mason Capital Management I Legg Mason Global Asset Allocation

Legg Mason Investment Counsel I Permal I Royce & AssociatesI Western Asset Management

Legg Mason Investor Services, LLC is a subsidiary of Legg Mason, Inc.

2011 Legg Mason Investor Services, LLC. Member FINRA, SIPC 406099 LGEN011965 8/11 FN0911041


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R BROKER-DEALER USE ONLY. THIS IS NEITHER AN OFFER TO SELL NOR A SOLICITATION OF AN OFFER TO BUY THE SECURITIES DESCRIBED HEREI N. AN OFFERING IS MADE ONLY

E PROSPECTUS. THIS SALES AND ADVERTISING LITERATURE MUST BE READ IN CONJUNCTION WITH THE PROSPECTUS IN ORDER TO UNDERSTAND FULLY ALL OF THE IMPLICATIO

D RISKS OF THE OFFERING OF SECURITIES TO WHICH IT RELATES. A COPY OF THE PROSPECTUS MUST BE MADE AVAILABLE TO YOU IN CONNECTION WITH THIS OFFERING. An inve

nt in Grubb & Ellis Healthcare REIT II, Inc. involves a high degree of risk and there can be no assurance that the investment objectives of this program will be attained. Grubb & Epital Corporation, member FINRA/SIPC, is the dealer manager for the Grubb & Ellis Healthcare REIT II, Inc. offering.

Healthcare Real Estate. Its in our DNA.

For more information, please contact us at 877.888.7348 or visit www.gbe-reits.com/Healthcare2

BR KER-DEALER E NLY. THI I NEITHER AN FFER T ELL N R A LICITATI N F AN FFER T B Y THE EC RITIE DE CRIBED HEREIN. AN FFERING I MADE NL

E PR PECT . THI ALE AND ADVERTI I NG LITERAT RE M T BE READ I N C NJ NCTI N WITH THE PR PECT I N RDER T NDER TAND F LLY ALL F THE IMPLICATI

D RI K F THE FFERI NG F EC RITIE T WHICH IT RELATE . A C PY F THE PR PECT M T BE MADE AVAILABLE T Y I N C NNECTI N WITH THI FFERI N . An inve

nt in Grubb & Ellis Healthcare REIT II, Inc. involves a high degree of risk and there can be no assurance that the investment objectives of this program will be attained. Grubb & Epital Corporation, member FINRA/SIPC, is the dealer manager for the Grubb & Ellis Healthcare REIT II, Inc. offering.

For more information, please contact us at 877.888.7348 or visit www.gbe-reits.com Healthcare2


49/70asi_sales@advisorsoftware2175 North California Blvd., Suite 400 Walnut Creek, CA 94596 Ph925.299.7782 Fx925.962.0658

[email protected] North California Blvd., Suite 400 Walnut Creek, CA 94596 Ph925.299.7782 Fx925.962.0658

Thank You!Andrew Rudd, CEO

Neal Ringquist, President & COO

Advisor Software, Inc.

congratulates the nomineesof the Community Leadership

Awards and all the finalists wh

have made a profound and

lasting impact on their local

communities.

i l i li i l i l


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111 Fifh Avenue New York, NY 10003 www.alger.com

Fred Alger Management, Inc.is proud to sponsor the

Inspired by Change, Driven by Growth.

INVEST

OTHERS

IN

CHARITABLE FOUNDATION

Congratulations to all CommunityLeadership Award Honorees.


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1 800 353 0103 | www.broadridge.com

Broadridge applauds

the eorts of this years2011 Community LeadershipAward Honorees,& The Invest in Others

Charitable Foundation

for all they do to enrich lives

and communities.

Broadridge Financial Solutions, Inc., is a leading global provider of technology solutions to the financial services industry. Our systems andservices include investor communication solutions, securities processing solutions, and clearing and outsourcing solutions.

2011 Broadridge Financial Solutions, Inc. Broadridge and the Broadridge logo are registered trademarks of Broadridge Financial Solutions, Inc.


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Congratulations

to the 2011

Community Leadership

Award Honorees.

Dreyfus thanks you all

for your generosity to your

chosen charities and

dedication to

your communities.

2011 MBSC Securities Corporation, Distributor


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Opportunity

to Support.FIDELITY INSTITUTIONAL WEALTH SERVICES IS PROUD TO BE A BRONZESPONSOR OF THEINVEST IN OTHERS CHARITABLE

FOUNDATION COMMUNITY LEADERSHIP AWARDS

AND SUPPORT THE EFFORT TO EMPOWER THOSE WHO ARE COMMITTED TO

SERVING OTHERS IN THEIR PROFESSIONAL AND PERSONAL COMMUNITIES.

EVERYNEWDAYPRESENTSAN

2011 FMR LLC. All rights reserved.

Fidelity Investments and the Pyramid design logo are registered service marks of FMR LLC.

Invest in others is an independent organization and is not affiliated with Fidelity Investments.

200 Seaport Boulevard, Z2F, Boston, MA 02210

Clearing, custody, or other brokerage services may be provided by National Financial Services LLCor Fidelity Brokerage Services LLC, Members NYSE, SIPC.

572294.3.0


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ITS OUR PLEASURE TO

CELEBRATE YOUR SUCCESS

The Hartford is The Hartford Financial Services Group, Inc. and its subsidiaries, including the issuingcompanies of the Hartford Life Insurance Company and Hartford Life and Annuity Insurance Company.The Invest in Others Charitable Foundation is not an affiliate or subsidiary of The Hartford. 106604 07/11

With The Hartford Behind you,

achieve whats ahead of you.

Congratulations to the 2011 Community

Leadership Awards Honorees &Finalists.


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Celebrating Successes,Serving Clients,

Sustaining Communities.

www.macquarie.com/us

These are some of Macquaries underlyingprinciples, and some of the reasons whywere proud to be associated with theInvest in Others Charitable Foundation.We congratulate this years Community

Leadership Award nominees for theirservice to their communities, and theircontinuing proof that investing in peopleand communities can deliver the richest andmost lasting returns.


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Sanford C. Bernstein

Congratulatesthe Community Leadership Award Honorees

and is proud to support the


Independence and Insight.Sanford C. Bernstein has been serving institutional clients all

over the world since 1967. Our hallmark is unbiased, industry-leading company and industry

research that delivers the insights our clients are looking for. Complementing our highly

regarded research is our unparalleled trading and capital markets execution. We also serve as

a gateway through which our clients gain direct access to corporate issuers and executives.

2011 Sanford C. Bernstein & Co., LLC and AllianceBernstein L.P.

i lli i


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Good health starts withstrong communities.

The work you do changes lives: giving hope,building community, sharing joy.

UnitedHealthcareis proud to support the Invest in Others Charitable Foundation,and we congratulate all the 2011 Community Leadership Award finalists.

Thank you for leading the way and inspiring us all.


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Congratulations to the 2011C O M M U N I T Y L E A D E R S H I P A W A R D F I N A L I S T S

We salute these individuals who have helped make dreams a reality.

Strategic Planning

Research

Creative Services

Optima Group, Inc. | 2150 Post Road | Fairfield, CT 06824 | 203 255 1066 | optimagroupinc.com


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PERFORMANCE

MATTERSA quality performance requires talent, hard work, and the right supporting cast.

So does succeeding on the financial services scene.

Thomson Reuters is the worlds leading source of intelligent information, with

offices right here in southeastern Wisconsin. From up-to-the-minute financial

news, to state-of-the-art analytical tools, to Thomson Reuters BETA Systems,

the most comprehensive brokerage processing platform on the market.

Thomson Reuters offers financial services professionals everything they need

to succeed.

To learn more about how your performance matters to Thomson Reuters, contact

us at +1 800 238 2797 or visit financial.thomsonreuters.com/beta .

REUTERS/K

Thomson Reuters 2011. All rights reserved. 47001920 0711


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Opts Ideas is proud to have been a supporter

of the Invest in Others Charitable Foundation

since its inception and applauds the financial advisors

being honored today for their exemplary leadership

and commitment to making a difference

in their communities.


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The Invest in Others Charitable Foundation wishes to thank

everyone for the generous support of this event and the

nalists and honorees it recognizes, making it possible for

incredible nancial advisors to continue and even expand

the difference they are making in the world.

Your support of the Community Leadership Awards will

continue long after this evening-touching people you will

never meet and changing lives in ways you cannot imagine.

Thank you for joining us for our fth year of celebrating the

remarkable spirit of the nancial services industry.

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Dinner Journal sponsored by

and

Documents

2011 CLA Dinner Journal - Final