Brewer Open House 4-21-2010

8/9/2019 Brewer Open House 4-21-2010

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Wealth Management Redefined


Welcome to

Brewer Investment Group

Targeting YourSuccess

April 21, 2010


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THREE MOST FREQUENTLY ASKED QUESTIONS:

How can I improve my product offerings for my clients?

How can I increase the quality and quantity of my new clients?

How can I increase my revenue streams?


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Comprehensive Approach to Wealth ManagementBrewer Financial Services, LLC: An independent broker dealerfeaturing complete open architecture of wealth management solutionsand services.

Brewer Investment Advisors, LLC: A Registered InvestmentAdvisor, which allows Investment Advisor Representatives (IARs) tooffer a broad array of wealth planning services aligned with the clientsspecific needs.

Brewer Insurance Group, LLC:A full service insurance brokerageoffering value added personal, commercial, life, health, and disability

insurance.

Brewer Futures Group, LLC:An Introducing Broker providing self-directed futures trading, broker-assisted service, and managed futuresprograms to institutions and retail clients.

Brewer FX, LLC:A one-stop portal for a variety of platforms, tradingprograms, market commentaries and educational resources, as well

as assistance from Brewers own market strategists.

Advisor Resource, LLC: Education, research and evaluation ofinvestment products for individual and institutional clients bothdomestically and internationally.

etvMedia.com: One of the leading on-line TV providers for financialcontent.


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In the Company of Leaders

Fred Uhlmann

The Founding Member and Senior Partner of UhlmannPrice Securities, LLC; Senior Vice President of ManFinancial, Inc.

Previously Chairman of the Chicago Board of Trade,Vice Chairman of the National Futures Association,

Chairman of the Futures Industry Association and aboard member of the Futures Industry Institute.

Founding board member of the Chicago BoardOptions Exchange.

An inaugural member of Futures Industry Hall of Fame,which also includes Alan Greenspan, Robert Dole andLeo Melamed.

Russell R. Wasendorf, Sr.

Chairman and CEO of PFGBEST.com, one of the largest U.S. non-clearing futures brokerage firms.

A noted writer and educator, having written six books about futures and commodities trading.

Founder of the Center for Futures Education, an independent, non-profit organization, and creator of

the E-CADEMY of Trading.

Founder of SFO magazine (Stocks, Futures and Options, the Official Journal for Personal Investing in

Stocks, Futures and Options).

Chairman of GDR Prive, a New York investment bank specializing in debt and asset based financing. Extensive international banking background, which spans over 30 years Has served in several advisory roles including financing, capital raising guidance and investor relations

counsel for growing small and mid-size companies.

Charles Gregoire de Rothschild

Our leaders are wealth management veterans and active market participants:

They pioneered trading processes which became industry standards

They were at the helm of the most prominent industry associations

They have a distinguished track record leading their teams to first place

O U R W E A LT H M A N A G E M E N T D N A


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Wealth Management RedefinedWealth Management Redefined


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What We Are All About

Our approach:

Considerably lower entry minimums and a multitude of choicesfor institutional-level products

Practice true diversification

Create a one-stop-shop model for different types of clients


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Our Strategic Relationships

Fidelity

One of the world's largest providers of financial services, with custodied assets of nearly $3.2trillion as of December 31, 2009.

One of the largest mutual fund companies in the United States and is one of the worldslargest providers of financial services to more than 77 million individuals and institutions,including more than 5,000 financial intermediary firms.

Employs more than 38,000 people and has 11 regional centers across the United States andCanada.

National Financial Services, LLC

Provides trade execution, clearing, custody and other brokerage services related to a clientsaccount.

Is one of the nations largest providers of brokerage services.

As of 09-30-2009, serviced over 5.4 million accounts representing $558 billion in assets.

Provides services to 310 broker-dealers ranging from retail broker-dealer to institutionalinvestment firms.


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Introducing Bob Whalen

Robert Whalen

Executive Vice President of Brewer Investment Group, LLC.

Joined Brewer Investment Group in April of 2008 after a distinguished 17-year careerat American Express and Ameriprise.

During his first 6 years at American Express/Ameriprise, had his own practice and wasa Gold Team member, a distinction bestowed on the top 10% producers out of 10,000

financial advisors.

Moved from having his own practice to go into leadership. He started as Field VicePresident in Detroit, Michigan and soon after became Field Vice President in Dallas,

Texas.

In 2006, was promoted to Group Vice President in the Chicago Metro Market Group,

where he led over 500 financial advisors and took the market group from last to firstplace within one year.

Was recognized for his achievement with the Leader of the Year Award.

Holds a B.A. in Finance and Management from Merrimack College in North Andover,MA and completed Executive Management Training from Harvard University.


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Broker-Dealer Landscape -- Wirehouse and Semi-Independent

Past Benefits Current Reality

- Strong Brand Name

- Good Training to Start out in

the Industry

- Turn Key Solutions

- Access to Solid Proprietary

Products

- Sense of Community

- Corporate Brand Can Hurt Your Practice

- You Might Have Outgrown Your Training

Program

- Lack of Open Architecture

- Your Product Offerings Have Become

Commoditized

- Increasing Payout and Product Haircuts

- No True Equity in Your Practice


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Broker-Dealer Landscape Independent Platform

Advantages to Going Independent Challenges of Independent B-Ds

- Higher Payouts

- Equity in Practice

- Open Architecture- Flexibility

- Better Technology Options

- Building your own Brand

- Look Closely: Many Have Haircuts

- Fees: Franchise and Association

- No Depth in Alternative Investments

- Little to No Marketing Support

- No Sense of Community: On an Island


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Why Brewer The Best of Both Worlds

Brewer Financial Services

Brewer Investment Advisors

REVENUE

- Simple Payout Grid- No Haircuts

- Ability to Diversify Your Income Streams:

Business Referrals Split-business arrangements with other securities licensed professionals

PRODUCTS

- Complete Open Architecture

- Access to Institutional-level Products

- Alternative Investments Expertise

- Advanced Insurance Solutions

MARKETING

- Turn-key Client Marketing Programs- Active Advisor Communication Channel

- Lead Generation and Cross-Selling Opportunities

- Personal Brand Empowerment

- Robust Media Strategy

- Abundance of Products and Services


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Our Products Universe


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ProductsTRADITIONAL BREWER YOUR B-D

Mutual Funds No-ticket-charge-funds Direct Application

17,000+4,000+150+

________________________

Separately Managed Accounts 1,700+ ________

ETFs (Exchange Traded Funds) All ________

Equities All ________

Fixed Income Bond Trader Pro Inventory Ability to Trade with Street

AllAll

________________

UITs (Unit Investment Trusts) All ________

NON-TRADITIONAL

LPs (Limited Partnerships) 3,000+___________

REITS (Real Estate Investment Trust) 175+ ___________

Managed Futures:* Number of Funds CTAs (Commodity Trading Advisors)

100 +

_____________________________

Funds of Funds 18 _________

Structured Notes (Monthly Average) 200 _________

Private Equity Yes _________

Private Placements Yes _________

LP Commodities (Futures)* Yes ___________

Forex* Yes ___________

Managed Forex* Yes ___________

INSURANCE BREWER YOUR B-D

I. Personal All

1. Life Insurance Term Life Insurance Universal Life Insurance Whole Life Insurance Variable Universal Insurance Survivorship Life Insurance

62 Carriers________________________________________

2. Annuities Fixed Annuities Variable Annuities

3939

________________

3. Disability 12 ________

4. Long-term Care 12 ________

5. Property Casualty and liability Home Insurance

Rentals Umbrella Liability Auto Insurance Commercial Liability

Open Architecture________________________________________

6. Health Insurance 6 Carriers ________

II. Business Offerings

1. General Liability Insurance

Professional Liability Workers Compensation Auto Insurance Buy-Sell Insurance Plan Key Person Life Insurance

6________

________________________________

III. Advanced Insurance Strategies

1. Premium Finance Yes ________

2. Life Settlements Yes ________

3. Defined Benefit Plans Yes ________

* Additional licenses may be required


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Diversifying Your Income Streams


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Marketing Support For You and Your Clients


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Corporate Identity Program Your Brand

This web-based program guides advisors through the branding options provided by Brewer:

Logo development

Stationary design and printing

Website design

Turn-key-marketing Options

Approved Marketing Materials


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How We Communicate With You-Advisor Communication Protocol

Advisors Circle

This monthly educational webinar is a collaborative forum forthought leadership, exchange of best business practices anddiscussion of specific issues and topics pertaining to advisorspractices and everyday needs. The agendas range from practicemanagement challenges and new products to technology solutions

and new client acquisition strategies.

1. New Advisor Start-up Kit

2. Corporate Identity Program

3. Advisors Circle

4. Product Watch

5. Message From the President

6. Insurance Focus

7. Situation Room Sales Ideas

8. Marketing Updates

9. Press Releases

10. Compliance Bulletin

11. Monthly Operational Updates

12. Daily Market Commentary

13. Fixed Income Trading

14. Financial Advisor Satisfaction Survey

Product Watch

This popular initiative is aligned with our open architecture approachand showcases products with a solid performance record and apotential to deliver better than average returns. Therecommendations are based on our experts analysis and areprovided on a monthly basis as well as by special requests. Theinformation contains marketing materials ready for general publicdistribution.


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9 An extensive library of S&P FCFINRA-reviewed article which is updatedmonthly

9 Market and economic analysisfrom Standard & Poors

9 The ability to upload firm-specific content

9 Best-in-class presentation with a variety ofdesign options

9 Easy-to-use platform

9 Maximum format flexibility

9 Schedule e-mails

9 Robust reporting features

What Can We Do for My Clients? Turn-key Solutions
http://sp.mhf2.mhf.mhc/home/view.cfm


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Features Include:

Database

3,000 Resources 2,300 Articles 200 Illustrations 200 Interactive Calculators 400 FAQs

Presentation Center

FINRA Reviewed Create Your Own

Consumer Alert

Package 1: Advisor

20-30 PowerPoint Slides

30-45 Minutes in Duration

Fully Animated

Speaker Notes and Script

Matching Client Workbook

FINRA Reviewed

Completely Editable

Package 2: Seminars

What Can We Do for My Clients? Turn-key Solutions


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Industry-leading Technology


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Industry-leading Technology

Key Benefits of the Brewer Platform Option

Multiple Choices

Full integration

Total Web-based platform

Comprehensive client view

Cost efficiency through economy of scale

Centralized support

ALBRIDGE

DataManagement

+Performance

Reporting

REDTAIL

CustomerRelationshipManagement

EISI NAVIPLAN

FinancialPlanning

FIDELITY

WEALTHCENTRAL

OR

STREETSCAPE

Portfolio

Modeling &Rebalancing


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Compliance: We are on Your Side


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Compliance: We are on Your Side

Functions of Compliance:

Supervision of the securities related activities

Guidance on how the various rules and regulations apply to your business.

Updates on the ever-changing regulatory environment

In-house compliance training for you and your representatives Licensing

Marketing, Correspondence and Sales Material Review with a 48-72 hour turn around time

Branch office visit

Consultation and guidance

Communication via electronic Compliance Bulletin

On-line documents repository


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Our Payout Structure No wounded wallets!


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Our Payout Structure

GDC PAYOUT

2,000,000 + 92%

1,000,000 - 1,999,999 91%

500k 999K 90%

400k 499K 89%

300k 399K 87%

200k 299K 85%

125k - 199K 83%


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How Competitive is Your Current BD Platform?... Judge for Yourself


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Brewer In the News


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Brewer In the News

Financial Advisor

Bloomberg.com BusinessWeek.com

CNBC.com

Dow Jones

Euro Investor

Forbes.com

Investment Advisor

Private Asset Management

Registered Rep.

Wall Street Journal

YAHOO! Finance

Media Appearances:


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Summary Answers to the Three Most Frequently Asked Questions

Get 83%-92% payout.

Access more competitive products and solutions.

Diversify your income streams.

Get new clients.

Experience industry-leading technology.

Bring your practice to the new level.

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Questions?


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Contact Information

David W. Rodriguez

Internal RecruiterBrewer Financial Services, LLCBrewer Investment Advisors, LLC

Brewer Insurance Group, [email protected] - direct312.896.3930 or 800.971.2440 - general312.284.6092 - fax

Joe Leleika

Internal RecruiterBrewer Financial Services, LLCBrewer Investment Advisors, LLCBrewer Insurance Group, [email protected] - direct312.896.3930 or 800.971.2440 - general312.284.6092 - fax

Adam G. EricksonExecutive Vice PresidentBrewer Investment Group, [email protected] - direct312.896.3959 - fax312.896.3930 or 800.971.2440 - general

200 South Michigan Avenue, 21st FloorChicago, IL 60604

Bob WhalenExecutive Vice PresidentBrewer Investment Group, [email protected] - direct312.896.3927 - fax312.896.3930 or 800.971.2440 - general


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Disclaimer

Brewer is a brand marketing name used for the products and services offered by the parent companysvarious subsidiaries.

The PowerPoint presentation contains features or services that we offer/propose to offer in due course.This material is for your private information only. Neither the opinion nor any information obtained fromthis power point constitutes a solicitation or offer by Brewer Financial Services, LLC and/or BrewerInvestment Advisors, LLC to buy or sell its securities, financial products or instruments or to participatein any particular trading strategy. While considering this information as reliable we take no liability orresponsibility for individual investment decisions based thereon.

Information in this power point may be updated at any time without prior notice. Information relatingspecifically to Brewer Financial Services, LLC and/or Brewer Investment Advisors, LLC , and theirproducts is for information purposes only and should not be relied upon as a basis for investmentdecisions. The information contained herein has been prepared to assist interested parties in makingtheir own evaluation and does not purport to contain all of the information that an interested party maydesire. Brewer Financial Services, LLC and/or Brewer Investment Advisors, LLC do not give anyguarantee or representation or warranty of any kind, whether actual or implied to the visitors/investors.

Past performance does not guarantee future returns. Diversification does not eliminate the risk ofpotential investment loss.

Brewer Financial Services, LLC and/or Brewer Investment Advisors, LLC do not accept anyresponsibility for any action resulting from unauthorized use of the material displayed in thispresentation. Each visitor/customer should make an independent evaluation or assessment of thetransaction and should consult his/her own professional advisor.

Securities offered through and under the supervision of Brewer Financial Services, LLC, a member ofFINRA/SIPC. Investment advisory services offered through Brewer Investment Advisors, LLC.


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THANK YOU!

Documents

Brewer Open House 4-21-2010