Firm Comparison
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| Compare Payouts and Expenses | LaSalle St. | Current Firm | Other Firm |
| Payouts | |||
| Succession Planning | Yes | Y/N | Y/N |
| Average Total Overall Payout | 90% & up | % | % |
| Mutual Fund | 90% & up | % | % |
| Annuities | 90% & up | % | % |
| Stocks | 90% & up | % | % |
| Bonds | 90% & up | % | % |
| Insurance-Life, Health, Indexed Annuities | 100% | % | % |
| Does payout get reduced based on lack of production? | NO | Y/N | Y/N |
| Fees | |||
| FINRA renewal & FINRA personnel assessment | $180/yr | $ | $ |
| Continuing Education | $100/yr | $ | $ |
| State registration fees | Varies/Pass Through | $ | $ |
| Bonding Fees | $165/yr | $ | $ |
| Is E/O Insurance optional? | YES | Y/N | Y/N |
| Does your broker Dealer mark up E/O Ins for a profit? | NO | Y/N | Y/N |
| Wealthscape | $70/$120/month | $ | $ |
| Separate Stand Alone Branch Fee | $95/yr | $ | $ |
| Affiliation/Technology Fee | $0 | $ | $ |
| FSI Membership Required? | NO | Y/N | Y/N |
| Direct Costs/Ticket Charges | |||
| Equities, Options, Corporate Bonds | $18 | $ | $ |
| Government & Municipal Bonds | $30 | $ | $ |
| Principal Transactions | $7 | $ | $ |
| International Equities | $75 | $ | $ |
| CD’s/UIT’s/Zero Coupon Bonds | $30 | $ | $ |
| Limited Partnerships | $35 | $ | $ |
| Precious Metals | $40 | $ | $ |
| Mutual Funds (purchases, liquidations and exchanges) | $18 | $ | $ |
| LAMP Platform Fee | 5 Basis Points | ||
| Execution & Exchange Fees | |||
| Listed Equities | $0.015/share | ||
| Options | $1.50/contract | ||
| Listed Bonds | .75/Bond | ||
| Compare Structure | LaSalle St. Securities | Current B/D | Other B/D |
| Independence | |||
| Allow you to own your own book? | YES | Y/N | Y/N |
| Operate under your own DBA? | YES | Y/N | Y/N |
| Product offerings limited? | NO | Y/N | Y/N |
| Are there any proprietary product requirements? | NO | Y/N | Y/N |
| Allow for Outside Business Activities?* | YES | Y/N | Y/N |
| Allow Social Media? | YES | Y/N | Y/N |
| Firm Stability | |||
| Possess solid financial history and balance sheet without losses? | YES | Y/N | Y/N |
| Supported by a nationally recognized branded firm? | YES | Y/N | Y/N |
| What is the retention ratio of the brokers/advisors? | 98% | % | % |
| How long has the Firm been in operation? | 46 Years | ||
| Home Office Service | |||
| Is staff compensation linked to broker satisfaction? | YES | Y/N | Y/N |
| What is the average tenure of staff personnel? | 16 Years | ||
| Allow for direct access to top ownership, management, department heads? | YES | Y/N | Y/N |
| Allow broker input on customer service issues? | YES | Y/N | Y/N |
| Financial Support | |||
| Transition funding | YES | Y/N | Y/N |
| ACAT and transfer fee support | YES | Y/N | Y/N |
| Technology tutorials and training support | YES | Y/N | Y/N |
| Branch recruiting and development assistance | YES | Y/N | Y/N |
| Products | |||
| Allow you to gain access to load and no load mutual funds? | YES | Y/N | Y/N |
| Access to REITs, UIT’s, CD’s, Municipal Bonds? | YES | Y/N | Y/N |
| Offer direct access to fixed income department? | YES | Y/N | Y/N |
| Insurance, Fixed, Fixed Index, Variable Annuities? | YES | Y/N | Y/N |
| Brokerage services, checking accounts, IRA, Trust Accounts, 401(k)s? | YES | Y/N | Y/N |
| Investment Advisor | |||
| Access offered through the affiliated Registered Investment Advisor, LaSalle St. Investment Advisors, LLC? | YES | Y/N | Y/N |
| Allow for broker owned Registered Investment Advisor platform?** | YES | Y/N | Y/N |
| Payment for direct financial planning services? | YES | Y/N | Y/N |
| Technology | |||
| Electronic order entry and document support | YES | Y/N | Y/N |
| Ability for client to access accounts online | YES | Y/N | Y/N |
| Access to all client info at any location | YES | Y/N | Y/N |
| Supported by robust platform of National Firm | YES | Y/N | Y/N |
| Access to all commission, trade info online | YES | Y/N | Y/N |
| Which firm do you clear through? | NFS-Fidelity | ||
| Marketing | |||
| Can you market your own brand? | YES | Y/N | Y/N |
| In-house tutorials and marketing tools? | YES | Y/N | Y/N |
| Access to variety of CRM systems for client/prospect management? | YES | Y/N | Y/N |
| Branch development and recruiting support? | YES | Y/N | Y/N |
| Transition | |||
| Provide transition funding, FINRA, ACAT, and Licensing costs | YES | Y/N | Y/N |
| Dedicated transition team | YES | Y/N | Y/N |
| Efficient account transfer from previous Firm | YES | Y/N | Y/N |
| Facilitate all licenses for transfer | YES | Y/N | Y/N |
| Support material announcing your transition | YES | Y/N | Y/N |
| Education | |||
| Full tutorial on all technology | YES | Y/N | Y/N |
| Support for all data access and brokerage account management | YES | Y/N | Y/N |
| Coordination of staff with department heads and operations | YES | Y/N | Y/N |
| Decide. Which Firm is Better? | |||
| Ready for a discussion? Let's Talk! | |||
| Mark Contey Chief Marketing Officer mark@lasallest.com (630) 600-0360 |
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| *Compliance Approval Required | |||
| **Minimum GDC required | |||