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Advisors of 65RETIRE® Wealth Managers offer securities through Securities America, Inc., member FINRA/SIPC, clearing through National Financial Services (NFS), LLC, member SIPC, a Fidelity Investments company. Advisory services are offered through Cooper McManus, a SEC Registered Investment Advisor. 65RETIRE® Wealth Managers, NFS/Fidelity Investments, Ladenburg Thalman, Cooper McManus and Securities America are separate entities. CA Insurance License # 0B77357. Securities America and its representatives do not provide tax or legal advice; therefore, it is important to coordinate with your tax or legal advisor regarding your specific situation. MoneyGuidePro™ and Financial Planning SMARTware® are trademarks of PIEtech, Inc. Used with permission. All rights reserved. The opinions voiced in this material are for general purposes only and are not intended to provide specific advice or recommendations for any individual. Data provided should not be relied upon for tax purposes, use original confirmations and 1099's instead. To determine which investment’s may be appropriate for you, consult your financial advisor prior to investing. All performance referenced is historical and is no guarantee of future results. All indices are unmanaged and may not be invested into directly. // © 2014 Riskalyze, Inc. All Rights Reserved. The information, data, analysis and opinions contained in this report include the confidential and proprietary information of Riskalyze; may include or be derived from account information provided by your financial advisor which cannot be verified by Riskalyze; may not be copied or redistributed; does not constitute investment advice offered by Riskalyze; are provided solely for informational purposes and do not constitute an offer to buy or sell a security; and are not warranted to be correct, complete or accurate. Except as otherwise provided by law, Riskalyze shall not be responsible for any trading decisions, damages or other losses resulting from the use of this information, data, analysis or opinion. This report is not considered a performance report and should not be utilized as such. This report is supplemental sales literature. If applicable, it must be accompanied by a prospectus or equivalent and disclosure statement. Five Star Professional Award 2015 The FIVE STAR Wealth Manager list is created by Crescendo Business Services LLC. It includes less than 17% of 2,010 wealth managers in the Orange Coast area in 2015. Award candidates are identified by one of three sources; firm nomination, peer nomination or prequalification. Wealth managers were evaluated across ten criteria: (a) Credentialed as an investment advisory representative or a registered investment advisor; (b) Actively employed as a credentialed professional in the financial services industry for a minimum of five years; (c) Favorable regulatory and complaint history review; (d) Fulfilled their firm review based on internal firm standards; (e) Accepting new clients; (f) One-year client retention rate; (g) Five-year client retention rate; (h) non-institutional discretionary and/or non-discretionary client assets administered; Number of client households served. (j) Educational and professional designations. Favorable and unfavorable evaluations are included in the score. Each wealth manager is reviewed for regulatory actions, civil judicial actions, and customer complaints. A favorable regulatory and complaint history is defined by Five Star Professional to mean that the wealth manager has not: *Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; *Had more than a total of three settled or pending customer complaints filed against them with any regulatory authority or through Five Star Professional's consumer complaint process; *Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; *Filed for personal bankruptcy; *Been convicted of a felony. Five Star Wealth Managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Scores reflect an average of all respondents and are not representative of any one client's evaluation. The Five Star award is not indicative of the wealth managers' future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients' assets. Working with a FIVE STAR Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or the magazine. Five Star Professional is not an advisory firm. For more information on the Five Star award and the research/selection methodology, go to: fivestarprofessional.com.
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