CLASSIFIED DOCUMENT

MISSION AGENDASEPTEMBER 14 - 16, 2016

Your mission, should you choose to accept it, involves turning one of the industry’s biggest challenges in decades into a windfall for your practice. The Department of Labor Fiduciary Rule not only changes how you earn money but adds a layer of scrutiny to an already “intense” business.

Yet we all know that every challenge presents an equal opportunity. Many advisors may respond by choosing to exit the business. Thousands of clients may become orphaned by financial professionals who either can’t continue to service their accounts or can’t afford to. Gradient Securities is here to help answer the call and position you to capitalize on this opportunity.

Another example of a change creating opportunity is robo-advisors. The industry is clamoring to “compete” with these wired foes yet the transition to robo-advice has also forced product providers and technology vendors to create more efficient ways for us to do business. As an example, our proprietary technology platform, KonnexMe, continues to offer more ways to streamline your practice. We have also expanded our technology platform to help you compete with robo-advisors with future offerings such as New Generation Retirement Planning, electronic signatures and paperless back-office processes.

Regardless of what lies ahead, Gradient Securities is your committed provider and will continue to provide you with the tools, technology and support to help you thrive while others struggle to survive. We encourage you to accept the mission before you: grow your practice and make your business more efficient by leveraging the tools Gradient Securities offers.

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YOU HAVE BEEN SELECTEDFOR A SPECIAL MISSION...

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2016 GRADIENT SECURITIES ANNUAL MEETING

Speaker Dossier Wednesday, September 14

Thursday, September 15

3:00pm SHUTTLE 1 DEPARTS BEST WESTERN/HILTON FOR GRADIENT CENTER

3:45pm - 5:15pm WELCOME AND ANNUAL COMPLIANCE MEETING (OPTIONAL*)

Jeff Foley, CFP®, MSM, President, Gradient Securities, LLC Klaus Siepmann, Chief Compliance Officer, Gradient Securities, LLC Scott Swearingen, Compliance Officer, Gradient Securities, LLC Rob Lee, Compliance Officer, Gradient Securites, LLC Beth Harrod-Parr, Compliance Officer, Gradient Securities, LLC • *Pre-meeting to satisfy a portion of your Annual Firm Element requirement • If you attend this meeting, you do not need to complete the RegEd “ACM on

Demand” course

5:00PM SHUTTLE 2 DEPARTS BEST WESTERN/HILTON FOR GRADIENT CENTER

5:15PM - 7:00PM SHAKEN NOT STIRRED WELCOME RECEPTION AT GRADIENT CENTER

7:00PM SHUTTLE DEPARTS GRADIENT CENTER FOR BEST WESTERN/HILTON

7:00am - 7:30am CONTINENTAL BREAKFAST AT BEST WESTERN/HILTON

7:30am SHUTTLE DEPARTS BEST WESTERN/HILTON FOR GRADIENT CENTER

8:00am - 8:30am MISSION POSSIBLE: SECRETS OF SUCCESS Jeff Foley, CFP®, MSM, President, Gradient Securities, LLC • Succeeding in the face of adversity • Your Mission

8:30am - 9:00am EMPLOYEE RETIREMENT INCOME SECURITY ACT (ERISA), DOL, AND YOU

Jeff Foley, CFP®, MSM, President, Gradient Securities, LLC • Turning crisis into opportunity • Become a life boat for orphaned clients • The positioning power of being a fiduciary

9:00am - 10:00am RETIREMENT PLAN ADVISORY SERVICES DOL/ERISA

Michael Ingenito, Principal, CEBS, QPA, AIF, Retirement Plan Advisory Services, LLC Michael Callahan, Principal, FSPA, EA, CPC, RMA, Retirement Plan Advisory Services, LLC • DOL Logistics • ERISA 408(b)(2) Compliance System Process

10:00am - 10:30am BREAK

10:30am - 11:15am TRANSITIONING YOUR PRACTICE

Jeff Foley, CFP®, MSM, President, Gradient Securities, LLC Aaron Jacobs, Commissions Coordinator, Gradient Securities, LLC • Keeping it all together • Using technology to transition

11:15am - 11:45am FLEXIBLE PLAN INVESTMENTS-YOUR PARTNER IN ACTIVE WEALTH MANAGEMENT

Bryan Bruce, Eastern Divisional Sales Manager, Flexible Plan Investments

NAME: Foley, Jeff CFP®, MSMTITLE: President, Gradient Securities, LLC FEATURE: Turning Crisis Into Opportunity

NAME: Siepmann, KlausTITLE: Chief Compliance Officer, Gradient Securities, LLCFEATURE: Bulletproofing Your Practice

NAME: Schmidt, Wayne CFA®TITLE: Chief Investment Officer, Gradient Investments, LLCFEATURE: Personalized Portfolio Solutions

NAME: Binger, Mike CFA®TITLE: Senior Portfolio Manager, Gradient Investments, LLCFEATURE: Economic Outlook and Market Forecast

NAME: Ingenito, MichaelTITLE: Principal, CEBS, QPA, AIF, Retirement Plan Advisory Services, LLC FEATURE: The DOL and You

NAME: Callahan, MichaelTITLE: Principal, FSPA, EA, CPC, RMA, Retirement Plan Advisory Services, LLC FEATURE: DOL Logistics

NAME: Mooreland, JayTITLE: Founder and President of The Emotional Investor KEYNOTE: Enhancing Your Value by Influencing Client Behavior

Friday, September 16Thursday, September 15

7:00am - 7:30am CONTINENTAL BREAKFAST AT BEST WESTERN/HILTON

7:30am SHUTTLE DEPARTS BEST WESTERN/HILTON FOR GRADIENT CENTER

7:30am - 8:00am ENJOY DONUTS AT GRADIENT CENTER 8:00am - 9:00am THE EMOTIONAL INVESTOR

Jay Mooreland, MS, CFP®, The Emotional Investor • What’s wrong with Modern Portfolio Theory? • Reality check; investors aren’t rational • Enhancing your value by influencing client behavior

9:00am - 9:30am EXPLORING EXCHANGE TRADED FUNDS (ETFs)

Rich Jacquemart, Regional Vice President, First Trust Advisors • Looking at ETFs rise to popularity • Current trends in the ETF landscape • The potential future of the ETF industry

9:30am - 9:45am BREAK

9:45am - 10:15am ADAPT TO SURVIVE

Ryan Connolly, Director of Advisor Services, Weatherstone Capital Management • Weatherstone Capital Management looks at how the DOL rule has and will change the

landscape for Financial Advisors and the biggest problems Financial Advisors face moving forward

• A brief update on market conditions and outlook • Why this might be a good time to look at tactical money management for your clients? • What solutions Weatherstone offers to protect as well as grow your clients’ assets.

10:15am - 10:45am HOW TO CHARGE FEES WITH CONFIDENCE

Dave Leflar, VP of Marketing, Gradient Securities, LLC• Directing your conversation to charge planning fees with success• Tools you can use

10:45am - 11:30am ECONOMIC OUTLOOK AND MARKET FORECAST

Michael Binger, CFA®, Senior Portfolio Manager, Gradient Investments, LLC • Interest rates... what’s next? • Stocks have moved… where next? • Is the market over or under valued?

11:30am - 12:00pm KONNEXME AND GENERATIONAL VAULT

Mike Stendahl, VP of Marketing, Gradient Securities, LLC• A revolutionary approach to prospecting to differentiate you in a crowded marketplace

12:00pm - 12:15pm MISSION DEBRIEF

Jeff Foley, CFP®, MSM, President, Gradient Securities, LLC

12:15pm BOXED LUNCH

12:30pm SHUTTLE DEPARTS GRADIENT CENTER FOR MINNEAPOLIS AIRPORT

11:45am - 12:15pm NEW GENERATION RETIREMENT PLANNING SYSTEM

Mark Walsingham, VP of Marketing, Gradient Securities, LLC• An automated, technology-enabled system to manage all components of your business:

marketing, disclosure, documentation, appointment process, and case design

12:15pm - 12:45pm THE WRIGHT PORTFOLIO SOLUTIONS

Wayne Schmidt, CFA®, Chief Investment Officer, Gradient Investments, LLC • The Gradient Investment philosophy • A global platform - Asset allocation solutions - Strategic portfolios matching client-specific goals

12:45pm - 2:00pm LUNCH, OPTIONAL TOUR, OPTIONAL ALLPRO MARKETING PRESENTATION

Grab a bite to eat, network and take a tour of our facilities. Or, join AllPro Marketing to learn more about their direct mail programs while you enjoy your lunch.

2:00pm - 2:30pm USING MARKET MOVEMENT SOLUTIONS TO CYCLE PROOF YOUR INVESTMENT PROCESS

Brett Leach, Regional Vice President, FTJ FundChoice, LLC • Understanding where liquid alternatives fit in an evolved allocation process • Using “risk scoring process” to implement an evolved asset allocation

2:30pm - 3:00pm THE PARADIGM SHIFT FROM PASSIVE TO ACTIVE MONEY MANAGEMENT

Andrew Hanlon, Regional Wholesaler, Hanlon Investments• How to reduce volatility and potentially increase returns using Hanlon’s Active Management

Strategy

3:00pm - 3:30pm RBC MANAGED ACCOUNT SOLUTIONS

Aaron Funk, Vice President, RBC Correspondent Services

3:30pm - 4:30pm SECURITY BENEFIT GROUP

4:30pm - 5:00pm UPDATES AND OPPORTUNITIES WITH AXA ANNUITIES

Jeff Stohr, Regional Vice President, AXA Distributors, LLC • Introduction to the Structured Capital Strategies Annuity • Market participation with downside protection

5:15pm SHUTTLE DEPARTS GRADIENT CENTER FOR PARADISE CHARTER CRUISES

6:15pm - 9:30pm LICENSE TO PARTY: PARADISE CHARTER CRUISES

9:30pm SHUTTLE DEPARTS PARADISE CHARTER CRUISES FOR BEST WESTERN/HILTON

For representative/firm use only. Securities and investment advisory services offered through Gradient Securities, LLC (Arden Hills, MN 866-991-1539).

Member FINRA/SIPC. Gradient Securities, LLC (an SEC Registered Investment Advisor) offers investment advisory services under the d.b.a. of Gradient Wealth Management. Gradient Securities, LLC is not affiliated with or endorsed by the

Department of Labor or any government agency.