Securities America Inc - The Leaders in Technology

Innovative Technology: Improving Productivity, Enhancing Client/Member Satisfaction and Meeting Ever-Increasing Compliance Requirements

State-of-the-art technology is critical in today's world. You need a partner with technology that allows you to become more efficient, productive and profitable. Technology that has scalability and speed; that allows you to look at your program as a whole, or at a single advisor's or branch's business, and provides access to multiple levels of users – senior management, supervisors, licensed employees and administrative support personnel. Technology that provides you with secure, seamless integration of data, reducing not only paperwork, but the need for extra personnel, and providing you with information you need to ensure your program is compliant at both federal and state levels.

Securities America stands ready to meet and exceed your expectations with a wide array of technology applications. Our Internet-based applications mean you can expect creative solutions to your business needs delivered quickly to wherever you are, and these solutions can be adjusted rapidly to meet your requirements. This also means you and your clients have access to information 24 hours a day, from any Internet location.

e*Office Advantage makes navigation a snap, due to tight integration and intuitively developed applications. This fully integrated click-and-go online workstation allows financial advisors to place trades, create proposals, and manage accounts – all within one application! All client information is retained in one place and used throughout, reducing the need to re-enter account information between tasks.

Included within e*Office are a variety of tools that allow advisors to integrate brokerage and non-brokerage business, place orders and receive immediate confirmations, access real-time, create plans using "what-if" and Monte Carlo simulations, and so much more. Investors have full access to view daily information on their balances, positions, 90-day history, order status and account registration data. The user-friendly, Internet-based system makes account viewing easy, even for first time users.

Contact and Portfolio Management
Account Manager is a browser-based application that integrates Brokerage business with Non-Brokerage Mutual Funds and Variable Annuities to create a data source for dynamically managing customers, prospects and leads. It offers contact and relationship management, account reporting, cost basis maintenance and task/event management tools. Track phone calls, letters and other correspondence, and use the database to target customer members by category. Transactions, positions and balances are downloaded, reconciled and stored in a secure, centralized database at Securities America.

Consolidated Performance Reporting is perhaps the single most important document that is generated for advisors and clients/members. To help fully understand a portfolio's performance, a complex consolidation of investment performances is summarized in an easy-to-read format for advisors and clients.

Online Solutions
Whether clearing through National Financial Services, LLC, Member NYSE/SIPC or Pershing, LLC, advisors have access to a variety of powerful online tools such as Streetscape, NetExchange Pro and Fee-Based Tools. Advisors can place stock, bond and mutual fund orders from any internet-connected computer, and then receive immediate confirmation, plus get real-time quotes, cost basis input and reporting, online trade confirms, tax documents, research and much more. The tools can help advisors comprehensively manage investment and transaction activities.

Financial Planning Solutions
Planning Tools is Securities America's online service for financial planning, asset allocation and professional financial educational information. It combines two great products: SunGard's Planning Station and Forefield Advisor.

Planning Station offers asset allocation and financial planning modules that analyze data addressing diverse planning needs, from the most basic goals to comprehensive planning. Complex financial concepts are in clear individualized recommendations. Additional features include scenario comparisons, what-if modeling and Monte Carlo simulation. Client and prospect information integrates directly into Planning Station to reduce data entry.

Forefield Advisor provides high-quality, client-ready literature, access to accurate and extensive financial planning ideas, strategies, and tactics, with discussions of alternatives and trade-offs. Illustrations, helpful tools and an easy-to-use presentation manager help advisors produce client-tailored educational documents.

Our CashEdge online account aggregation solution provides wide-ranging capabilities to gather client/member account and personal data. CashEdge technology provides clients with "one click, one view, total access" to brokerage and non-brokerage accounts, banking accounts, outside investment and insurance accounts and online document storage. It provides a more holistic view of clients' financial lives, allowing advisors to provide additional planning services for client assets held outside of Securities America, and provide better overall client portfolio management.

Albridge Wealth Reporting is our consolidated performance reporting solution. Advisors can run over 20 reports on any of the portfolios with which a client/member is associated for an accurate snapshot of holdings. Reporting includes both commission-based and fee-based assets, as well as non-brokerage business.

Office Management Solutions:
Office Administrative Tool - establish customized access to online services and reports.

Management Reports - a host of pre-designed online reports and a custom report generation tool to help make managing your office a snap.

FastForms - a forms wizard guides you with ease, or you can use existing information to auto-populate.

Account Maintenance Tools - update existing accounts by auto-populating data that's been provided on prior account applications. Integrate brokerage and non-brokerage sales blotters, access permanent electronic books and records, and more.

Paperless Office Solutions -your online books and records source, providing you access to WORM-audited (Write Once, Read Many) images of scanned documents. Our scanning process meets FINRA and SEC WORM requirements, so you can depend on these images to satisfy regulatory books and records requirements for brokerage confirms, commission statements, online blotters and brokerage account paperwork.

Non-Brokerage Order Entry - eliminate "snail mail" by submitting brokerage business online!

Client / Member Access Solutions
MyStreetscape or NetExchange Client - give your client members full access to view daily information on their balances, positions, order status, quotes and more. These user-friendly, Internet-based services make account viewing and trading easy, even for first-time users, and give you the ability to monitor what your more self-sufficient customers are doing with their online accounts.
We are continually adding to and upgrading our technology features to meet your customers' and program's changing needs.

We are continually adding to and upgrading our technology features to meet your changing needs.

To view technology demonstrations and see a more in-depth profile of our technology solutions, visit the technology demonstrations page on www.JoinSAI.com.

FOR INFORMATION ABOUT SECURITIES AMERICA'S WIDE ARRAY OF PROGRAMS AND SERVICES, EXPLORE WWW.JOINSAI.COM

(COPYRIGHT) SECURITIES AMERICA FINANCIAL CORPORATION, 2010 | SECURITIES AMERICA, INC., MEMBER FINRA/SIPC

12325 PORT GRACE BLVD; LA VISTA, NE 68128 | RECRUITMENT CENTER: 800.989.8441 | HOME OFFICE: 800.747.6111