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B

BBB Torch Awards 2015 - 2016
Awards are based primarily on criteria relative to leadership, achievement, recruiting, management practices, community service, team unity and education.  Sales are not a consideration. There is no fee associated with this award. Companies must be in good standing with the Better Business Bureau for consideration. Working with this advisor or firm is not a guarantee of future financial results. Investors should conduct their own evaluation.

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D

Dental Products Report - Top Financial Advisors for Dentists
Inclusion on this list is a paid advertisement. Inclusion on this list does not bear on the financial qualifications, skill, experience or knowledge of your advisor, does not relate to the provision of financial advice and services, and is not based on any particular training, education, or subject matter expertise. Working with this advisor is not a guarantee of future financial results. Investors should conduct their own evaluation.

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F

Five Star Wealth Manager - Illinois (2015)
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as an investment advisory representative (IAR) or a registered investment advisor; 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years; 3. Favorable regulatory and complaint history review**; 4. Fulfilled their firm review based on internal firm standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutionalized discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Educational and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products. The award methodology does not evaluate the quality of services provided. The award is not indicative of the award winner’s future performance. 5,833 Chicago wealth managers were considered for the award; 716 (13 percent of candidates) were named Five Star Wealth Managers.

**To qualify as having a favorable regulatory and complaint history for this award, the person cannot have (1) been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine, (2) had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional’s consumer complaint process, (3) individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, (4) filed for bankruptcy, or (5) been convicted of a felony.

Five Star Wealth Manager - Minnesota (2016)
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as an investment advisory representative (IAR) or a registered investment advisor; 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years; 3. Favorable regulatory and complaint history review**; 4. Fulfilled their firm review based on internal firm standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutionalized discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Educational and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products. The award methodology does not evaluate the quality of services provided. The award is not indicative of the award winner’s future performance. 2,083 Twin Cities wealth managers were considered for the award; 854 (41 percent of candidates) were named Five Star Wealth Managers.

***To qualify as having a favorable regulatory and complaint history for this award, the person cannot have (1) been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine, (2) had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional’s consumer complaint process, (3) individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, (4) filed for bankruptcy, or (5) been convicted of a felony.

Five Star Wealth Manager - Minnesota (2015)
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as an investment advisory representative (IAR) or a registered investment advisor; 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years; 3. Favorable regulatory and complaint history review**; 4. Fulfilled their firm review based on internal firm standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutionalized discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Educational and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products. The award methodology does not evaluate the quality of services provided. The 2,673 Twin Cities wealth managers were considered for the award; 825 (31 percent of candidates) were named Five Star Wealth Managers.

**To qualify as having a favorable regulatory and complaint history for this award, the person cannot have (1) been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine, (2) had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional’s consumer complaint process, (3) individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, (4) filed for bankruptcy, or (5) been convicted of a felony.

Five Star Wealth Manager - Oregon (2016)
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as an investment advisory representative (IAR) or a registered investment advisor; 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years; 3. Favorable regulatory and complaint history review**; 4. Fulfilled their firm review based on internal firm standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutionalized discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Educational and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products. The award methodology does not evaluate the quality of services provided. The award is not indicative of the award winner’s future performance. 171 Palm Springs wealth managers were considered for the award; 66 (43 percent of candidates) were named Five Star Wealth Managers.

**To qualify as having a favorable regulatory and complaint history for this award, the person cannot have (1) been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine, (2) had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional’s consumer complaint process, (3) individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, (4) filed for bankruptcy, or (5) been convicted of a felony.

Five Star Wealth Manager - Pennsylvania (2016)
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as an investment advisory representative (IAR) or a registered investment advisor; 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years; 3. Favorable regulatory and complaint history review**; 4. Fulfilled their firm review based on internal firm standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutionalized discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Educational and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products. The award methodology does not evaluate the quality of services provided. The award is not indicative of the award winner’s future performance. 4,696 Philadelphia wealth managers were considered for the award; 805 (18 percent of candidates) were named Five Star Wealth Managers.

**To qualify as having a favorable regulatory and complaint history for this award, the person cannot have (1) been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine, (2) had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional’s consumer complaint process, (3) individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, (4) filed for bankruptcy, or (5) been convicted of a felony.

Five Star Wealth Manager - Texas (2015)
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as an investment advisory representative (IAR) or a registered investment advisor; 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years; 3. Favorable regulatory and complaint history review**; 4. Fulfilled their firm review based on internal firm standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutionalized discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Educational and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products. The award methodology does not evaluate the quality of services provided. The award is not indicative of the award winner’s future performance. 2,864 Austin and Central Texas wealth managers were considered for the award; 684 (24 percent of candidates) were named Five Star Wealth Managers.

**To qualify as having a favorable regulatory and complaint history for this award, the person cannot have (1) been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine, (2) had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional’s consumer complaint process, (3) individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, (4) filed for bankruptcy, or (5) been convicted of a felony.

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G

GAMA
GAMA International is a membership organization for which individuals must submit applications and payment. The organization is geared toward those in a recruiting, training, or supervision role in the financial services industry. Awards are based primarily on -commissions, premiums, or fees generated from investment and insurance products and other criteria relative to leadership, achievement, and recruiting selected by the applicant. Individuals must be current with membership dues and submit an application fee for consideration. Working with this individual is not a guarantee of future financial results. Investors should conduct their own evaluation.

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M

Medical Economics - Top Financial Advisors for Doctors
Inclusion on this list is a paid advertisement. Inclusion on this list does not bear on the financial qualifications, skill, experience or knowledge of your advisor, does not relate to the provision of financial advice and services, and is not based on any particular training, education, or subject matter expertise. Working with this advisor is not a guarantee of future financial results. Investors should conduct their own evaluation.

Million Dollar Round Table (MDRT)
Million Dollar Round Table (MDRT) is an independent membership organization of life insurance and financial service professionals. Membership levels are based on commissions, premiums, or fees generated within a year from investment and insurance products. Members must apply annually and pay a fee. Members must be members in good standing of a Professional Association which has met the following criteria: in existence at least 2 years, have 100 or more members, must be a nonprofit organization, must have a code of ethics and an effective means of dealing with breaches of its code. Members must also adhere to the MDRT Code of Ethics. Working with this advisor is not a guarantee of future financial results. Investors should conduct their own evaluation.

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N

New Advisor of the Year
This award has since been retitled "New Advisor of the Year." Awards and club membership are based primarily on commissions, premiums, or fees generated from investment and insurance products and other criteria relative to leadership, achievement and recruiting. Working with this individual or firm is not a guarantee of future financial results. Investors should conduct their own evaluation.

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S

Securian Clubs and Awards
Awards and club membership are based primarily on commissions, premiums, or fees generated from investment and insurance products and other criteria relative to leadership, achievement, and recruiting. Working with this individual or firm is not a guarantee of future financial results. Investors should conduct their own evaluation.

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T

Top Women in Finance
100+ nominations were received for individuals in varied roles within the financial services industry in Minnesota. A panel reviews the nominations based on career achievements, sales are not a consideration. There is no fee associated with this award. Working with this advisor is not a guarantee of future financial results. Investors should conduct their own evaluation.

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W

Women in Business
Working with this individual or firm is not a guarantee of future financial results. Investors should conduct their own evaluation.

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