BREAKOUT ADVISOR SACRAMENTO, CA. Broadridge Advisor Solutions. Product Guide

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1 BREAKOUT ADVISOR SACRAMENTO, CA Broadridge Advisor Solutions Product Guide

2 Broadridge Advisor Solutions is revolutionizing the way advisors reach out to clients and prospects. We have everything you need to drive your business forward.

3 Marketing Solutions for Financial Professionals It s not easy to serve your clients and market your practice efficiently at the same time. That s why we ve put together an unmatched breadth of industry-leading, fully compliant marketing and information tools and resources to help you more effectively build your brand, share knowledge, and optimize your practice. EMERALD CONNECT Digital Advisor Platform SocialSpeaks... 5 Keep in Touch... 6 Seminar Marketing... 8 Dining Invitations... 9 FOREFIELD Advisor Websites Newsletters Composer Seminars CE INVESTIGO Data Aggregation and Reporting

4 EMERALD CONNECT Digital Advisor Platform Emerald s Digital Advisor Platform comprises four robust tools that enable financial professionals to stay connected with clients and prospects. 1. Emerald Website Experience the latest in mobile-responsive design and choose from a large gallery of photo backgrounds and page templates with an Emerald website. The fully customizable web pages convey just the right message to clients and prospects about your business. Regularly added content will demonstrate your expertise to clients and prospects. 2. Local Business Listings Stand out from the competition with our Local Business Listings service. New prospects will be able to find your business first. The service includes registration with Google Places and a business listing in Google, Yahoo!, and Bing. 3. Sponsored Name Placement Anyone who types your name or your practice name into a major search engine will see your website in the sponsored ads area. Our Sponsored Name Placement is a highly visible program and allows for easy verbal marketing. 4. AutoMark Make marketing part of your communication strategy to maximize client retention and turn prospects into clients. With this electronic file cabinet that houses your marketing communications, you can send personalized, FINRA-reviewed content and greeting cards in either an automated fashion or on an individual select-and-send basis

5 Websites A turnkey solution to effectively market your products and services in the digital world. Build the foundation to a strong online presence with an Emerald advisor website. Be Found. Get Referred. Stay Connected. Advisor Websites A strong online presence is crucial to your overall marketing success and brand. Emerald Connect is the leading provider of websites for financial professionals. Brand your practice. Greet visitors with your photo, biography, and company logo. Design templates. Contemporary templates with a variety of color combinations. Home page movies. Imagery focuses on lifestyle and family to reinforce the trusted advisor relationship. Market Watch. 24-hour access to market updates, stock quotes, and financial news. Research and newsletter articles. Timely updates will keep clients and prospects coming back to your website for news they can use. Financial calculators. Interactive calculators to test what if scenarios. Videos. A library of videos on financial concepts and current events. Flipbooks. Magazine-style online flipbooks illustrate key financial concepts. And much more! Features: Customizable pages Password-protected pages Fast and easy setup Interactive editor for easy content changes Responsive design allows your website to conform automatically to smartphone browsers and tablets. Benefits: Increase your visibility Establish new business Serve existing clients Build your business brand Low setup fee Low monthly maintenance FINRA-reviewed content Free technical support For a demo of Emerald advisor websites, visit

6 EMERALD CONNECT Search Engine and Marketing Our network of local search partners spans applications from desktop to mobile to social media. The online search and directory sites cover 90% of where more than 3.4 billion monthly local searches occur. Local Business Listings Ensure that your business can be found in local directories. Attract customers, increase website traffic, establish yourself as the local expert, and stand out from the competition with Emerald s premium Local Business Listings service. Included with the service: Address registration with Google Places Business listings in Google, Yahoo!, and Bing Administration of local business listings including Yelp, Yellow Book, and more! Management of key words Advanced reporting that scores your online presence With Sponsored Name Placement, your business will show up in the paid search results of major search engines such as Google, Yahoo!, and Bing. Sponsored Name Placement Enhance your presence in search engine results. Benefits: Premium search engine placement Prospects easily find your website Upgraded website analytics and reporting No costly pay-per-click charges Use AutoMark, an automated drip marketing tool, to develop your own record of client contacts and their specific interests, as well as monitor who opened and read each of your s. The built-in tracking and reporting capabilities enable you and your compliance department to track past and future deliveries. 4 AutoMark Send personalized, FINRA-reviewed content by in either an automated fashion or on an individual select-andsend basis Automatic content. Educational and engaging financial articles will be delivered to your clients addresses each month. Special campaigns. Reinforce your clients interest in specific topics such as college funding. Calculators. Interactive financial calculators allow your clients to test different scenarios and concepts for themselves. Videos. Short videos focus on financial concepts and current events. Cards and reminders. A variety of holiday, birthday, special occasion, and appointment reminder cards. Hot Topics. Monthly news articles that focus on a current business, economic, or political event. Newsletters. New articles are added each month. Responsive design. s conform automatically to smartphone browsers and tablets.

7 POST Meaningful Content CONNECT With Clients and Prospects BUILD Credibility INCREASE Exposure GROW Your Business REPEAT Your Success SocialSpeaks Social media can be an effective way to keep in touch with your clients and prospects. But you need a sound content strategy to be successful. SocialSpeaks helps the advisor community build relationships, trust, and rapport; demonstrate integrity; and ultimately persuade people to act the heart of what a good marketing initiative should accomplish. SocialSpeaks includes: Compelling content. SocialSpeaks provides informative financial content designed to entice your followers to reach out and seek additional guidance regarding their finances. Synergy. SocialSpeaks is a one-step application that instantly adds a cohesive element to your marketing plan by combining your Keep in Touch and branding strategies. FINRA reviewed. The material is available on our website administrator. The SocialSpeaks library includes more than 190 financial pieces, with new content added every month for use on Facebook, LinkedIn, and Twitter. Compliance Review Your compliance department can log in to our Compliance Review Application, review the SocialSpeaks content, and enable it for use all with the click of a mouse. Additionally, compliance officers can download FINRA letters from the CRA

8 EMERALD CONNECT Keep in Touch Our Keep in Touch product suite gives you the tools to communicate relevant financial topics and timely news to your clients. Client Newsletters Use Emerald Connect s full-color, four-page newsletters to educate and build a strong relationship with your clients and prospects. Each issue is published monthly and is filled with sound information and crisp graphics. All content is FINRA reviewed. Financial Ink covers most areas of personal finance and is ideal for clients of any age who want to improve their financial futures. The upbeat content focuses on investing, retirement planning, tax issues, cash management, insurance protection strategies, and wealth preservation. The American Investor maintains a sophisticated focus on market trends, economic issues, tax-saving approaches, wealth-building strategies, and small-business issues. It will motivate investment-conscious individuals and business owners who have money to invest and substantial assets to manage. On Balance addresses timely, topical personal finance issues that appeal to people who are nearing retirement or already retired. The insightful articles provide practical ideas that are designed to help people overcome retirement challenges, preserve wealth, and make savings last. Everyday Cents is visually appealing, a light read, and filled with tips and news about consumer trends, health, science, and a host of personal finance topics. It is written to appeal to a broad audience base and will help reinforce your image among people who may be unlikely to read a more traditional financial newsletter. Turnkey Mailing Service Our full-service mail house can send your communication pieces to all your clients and prospects with no extra work for you. Expand Your Marketing Coverage Add another dimension to your marketing program by combining our printed newsletter with our enewsletter, which is sent via to your clients

9 As a successful financial professional, you know that to build strong client relationships, you need to stay in touch on a regular basis. Special Reports With Emerald s two-page printed reports, you can add timely market commentaries to your marketing and retention programs. Each Special Report offers a summary or insight on a current business, economic, or political event. Every month, Emerald Connect will release a FINRA-reviewed Special Report that you can send to your clients within days. MoneyMoves MoneyMoves articles take an in-depth look at a financial product or trend and give readers a financial professional s perspective. The library of topics is updated regularly and the FINRA-reviewed articles cover issues related to retirement, saving and investing, risk management, and estate conservation. Surveys Use our Keep in Touch surveys to reach out to your clients for feedback on changes in their financial situations and to identify potential client needs. Surveys focus on retirement, insurance, investing, financial review, long-term care, and legacy planning. Greeting Cards Keeping in touch with your clients isn t only about delivering financial news. Send a greeting card to clients to show your appreciation for their business or to wish them a happy holiday. Emerald s Greeting Cards are FINRA reviewed. Visit to view the greeting card catalog and pricing. Use your pre-approved newsletter masthead on the Keep in Touch (KIT) marketing pieces for consistent branding. Informational Booklets Emerald s 12-page, full-color, FINRA-reviewed booklets will help educate your clients about key topics that are likely to have an impact on them at some point in their lives. Topics range from insurance protection strategies, to Social Security and Medicare expectations, to college funding, long-term care, and the Affordable Care Act. Unlike other KIT pieces, the informational booklets are not personalized. Automatic Marketing Program When you choose Emerald s Automatic Marketing Program, you will receive a turnkey marketing package so you can save time and do things that matter most like meet with clients and prospects. Each month, your clients will receive a FINRA-reviewed communication piece from you, whether it s a newsletter or a Special Report. Just choose your preferred platform print or and set your content delivery preferences. Emerald will take care of the rest!

10 EMERALD CONNECT Seminar Marketing Whether you are hosting an informational dinner event or presenting a seminar in a classroom or worksite setting, the goal is always the same: to educate prospects about the need to prepare for a financially secure future. Each seminar includes a presenter script and a valuable participant workbook. Comprehensive Seminars Duration: Approximately 6 to 10 hours Benefits: Conducted over several sessions Provides attendees with the broadest financial education Highest conversion ratios Largest income opportunity FINRA reviewed Titles: The Complete Financial Management Workshop (Worksite) Financial Strategies for Successful Retirement (Educational Marketplace) Passport to Retirement (Educational Marketplace) FocusOn Seminars Duration: Approximately 1 hour Benefits: Establish yourself as a credible authority on particular topics Ideal for client-only meetings Present to groups such as the local chamber of commerce FINRA reviewed Titles: Making the Most of Social Security College Funding Estate Conservation Financial Management Income for Life (Annuities) Investment Fundamentals Retirement Retirement Income Retirement Investment Strategies Taking Control (for Women) 8 Dining Event Seminars Duration: About 1.5 hours Benefits: Fastest way to build a strong book of business Themed event seminars Presentation is FREE for 60 days with the purchase of workbooks and a direct-mail package FINRA reviewed Titles: Your Retirement Game Plan Developing a retirement income stream to help money last Running the Retirement Marathon Accumulating assets and avoiding retirement mistakes Building Blocks for Wealthy Living Six steps to building wealth and protecting assets

11 Dining Invitations Invitations are your personal introduction to prospects who will be attending your educational seminar, so it s important that the invitations be as impressive as the seminar you are presenting. Our wedding-style invites are produced on high-quality paper and inserted into a matching envelope. The invitations are customized for your event, and your direct-mail order includes a targeted mailing list, printing, envelope addressing, standard-rate postage, and delivery to the post office. All premium invites contain variable printing, which allows us to print each recipient s name on strategic areas of the campaign materials for greater personalization. The FINRA-reviewed premium invitations are available for dining event seminars and FocusOn seminars. We also offer direct-mail brochures and 8-page booklets to promote comprehensive seminars. Visit for seminar details and to view our full library of invitations

12 FOREFIELD Advisor Are you looking for a way to deliver current, concise, and FINRA-reviewed resources to clients? Forefield Advisor is the answer. In Advisor, resources are continuously updated to reflect current legislation and industry trends. The FINRA-reviewed resources are organized by 17 life events and 10 financial goals and can be easily searched. We have hundreds of standard presentation templates so you can choose just the right look and feel for your materials. These templates are branded with your colors, pictures, and logos; and personalized for your clients. Or you can choose from any of our 3,000 resources to compile a presentation that uniquely fits your needs. All of our presenations can be ed, exported to PDF or Word, or professionally printed. Each month, we explore key issues and timely topics in a video format. These Video Client Alerts can be distributed to your clients via and can be personalized with an introductory note. 3,000 resources Organized by 17 life events and 10 financial goals Create your own unique presentation or export to hard copy, PDF, or Word Video Client Alerts Forefield Advisor provides access to more than 3,000 resources made up of over 2,300 articles, 200 illustrations and tables, 200 interactive calculators, and over 300 presentations

13 Websites Websites is an innovative solution that lets you create a professional, high-quality website in just a few minutes! Utilizing a state-of-the-art website template, you can build your own custom web pages (subject to compliance review for enterprise customers) and integrate our timely, high-impact consumer content. The content you choose will be automatically updated with the most recent versions, keeping your website fresh and compelling. Forefield Websites is compatible across multiple browsers and platforms, including Apple ios devices, allowing you to enhance your personal and brand identity while creating a dynamic web presence for your clients and prospects. Forefield Web Links and Web Widgets allow you to enrich your already existing website by easily adding hyperlinks and embeddable widgets that link to our most recent consumer alerts, newsletter articles, and video presentations. By keeping your website content as fresh as possible with the latest financial planning information, you can better engage your clients and prospects. If you subscribe to Forefield Websites, you ll have access to Forefield Web Links and Web Widgets as part of your subscription. In today s fast-moving environment, maintaining a professional and current website has never been more important. Forefield Websites provide advisors with professional design options, FINRAreviewed content, automatic updates, and proactive customer support

14 FOREFIELD Newsletters Educate clients and prospects with Forefield Newsletters. Our full-featured, monthly financial planning newsletter service is offered to both independent financial advisors and financial institutions. The Forefield Newsletter service allows financial advisors and institutions to create customized, FINRA-reviewed, and fully branded newsletters for clients, including both PDF and versions. By using Forefield Newsletters with prospects and customers, you provide valuable information on a variety of timely and interesting financial issues, raising your overall brand awareness. New article choices are added each month so your newsletters always address timely topics. In addition, you can send your clients Market Summaries, which are available in weekly and quarterly editions. Market Summaries contain information on the Dow, S&P 500, NASDAQ, Russell 2000, Global Dow, federal funds interest rate, and 10-year Treasury yields, as well as highlights of past and future economic data. You can deliver your newsletters to clients in the format they prefer, satisfying your clients while taking advantage of the zero-cost distribution option. Other features of Forefield Newsletters: Insert your own feature article Electronic versions with client read and click-through data reporting Fully customizable with color scheme, picture, logo, and welcome note Professional printing and mailing available The Forefield Newsletter service allows financial advisors and institutions to create customized, FINRA-reviewed, and fully branded newsletters for clients, including both PDF and versions

15 Composer With Forefield Composer, financial advisors can create, host, and distribute their own content using Forefield s and Web platform. Advisor-generated communications, such as invitations, electronic greeting cards, and articles, can be created with a full range of formatting and image options. Forefield Composer includes electronic greeting cards for a variety of events: Major holidays Birthdays Anniversaries Christian and Jewish observances Financial holidays Event invitations Keeping in touch E-cards are supported within Forefield s innovative set-and-forget engine, which allows you to set up automated programs that help you stay in touch and maintain strong client relationships. The combination of Composer with Forefield s other innovative content-based solutions offers you a comprehensive platform that allows continuous communication with your clients and prospects. Forefield Composer allows advisors to leverage the same industry-leading marketing platform used by other Forefield services to create advisor-generated communications

16 FOREFIELD Seminars Forefield Seminars are comprehensive, customizable, FINRA-reviewed presentations for use by individual advisors and enterprises. The seminars run about 30 to 45 minutes in duration and are composed of 20 to 30 PowerPoint slides, a complete script, and an interactive client workbook. Each seminar comes with an accompanying three- to four-minute video. The video presentation allows you to fully engage your clients and prospects by ing the link or by posting it on your website. Seminar titles: Estate Planning Basics An Introduction to Annuities Variable Annuities Retirement Basics College Planning Advanced Estate Planning Planning for Long-Term Care Investment Basics Retirement Income Planning Financial Planning Basics Social Security Roth IRA Conversion Women and Money

17 FOREFIELD CE Forefield CE is an online continuing education service where advisors can earn the credits necessary to satisfy their CE requirements for many popular accreditations. Our CE service features tests in 10 topic areas. Forefield s online interface tracks the date that an advisor successfully completes a test and automatically notifies the CFP Board of Standards, assuring that the advisor s credits will be included in the Continuing Education Reporting Form. Credits for the CFP, ChFC, CLF, CLU, RHU, and REBC are immediately sent to the advisor s address of record. With Forefield CE, enterprises have an easy way not only to support CE, but also to reinforce the overall training and education objective by leveraging research materials in Forefield Advisor. Because Forefield CE links to the research materials in Forefield Advisor, enterprises are able to include CE as part of an overall training, marketing, and sales program, with each area mutually reinforcing every other part of the program. Forefield CE tests have direct links from test questions to the source materials, making it easier than ever to study for and achieve CE requirements

18 INVESTIGO Data Aggregation and Reporting Investigo is a web-based platform that combines data aggregation with reporting and practice management tools to enhance productivity. Use Investigo to consolidate client data across sources into one user-friendly online hub. This single, reliable data source instantly provides a complete view of clients holdings. Plus, built-in performance reporting and practice management tools scrub and reconcile data, providing a 99.9% data accuracy rate. With a complete view of your clients holdings across asset classes, you can use the information to create high-quality performance reports, asset allocation models, and charts for holdings and transactions. Instead of wasting time entering data manually, you can access your data completely, quickly, and efficiently. Investigo s benefits include: Convenient user-friendly dashboard Easy integration with preferred technologies (such as CRM and financial planning software) Transparency into client holdings including banking, brokerage, insurance, trust, and 401(k) account positions 99.9% data accuracy rate Elimination of manual data entry Investigo empowers your entire organization to make the most profitable use of information. Its SMARTDATA suite of solution consolidates data from multiple clearing firms, custodians, insurance carriers, internal data silos, and other sources into a central repository

19 For advisors who want to break out from the crowd, build their market presence, strengthen relations and elevate their professional reputations, Broadridge Advisor Solutions is the smart way to grow.

20 About Broadridge Broadridge Financial Solutions, Inc. (NYSE:BR) is the leading provider of investor communications and technology driven solutions for broker-dealers, banks, mutual funds and corporate issuers globally. Broadridge s investor communications, securities processing and business process outsourcing solutions help clients reduce their capital investments in operations infrastructure, allowing them to increase their focus on core business activities. With over 50 years of experience, Broadridge s infrastructure underpins proxy voting services for over 90% of public companies and mutual funds in North America, and processes more than $5 trillion in fixed income and equity trades per day. Broadridge employs approximately 6,700 full-time associates in 14 countries Broadridge. All rights reserved. Information is subject to change. Printed in U.S.A. 01/15