Third-Party Broker-Dealer Performance Survey

1. Firsthand Feedback about Your BD (and the Other BDs)

The Purpose: The purpose of this 4-minute (yes, truly, it only takes 4 minutes) Satisfaction Survey is to give you firsthand feedback from your colleagues across the country about your current broker-dealer and the other broker-dealers you could choose to work with. We have been told that this kind of “straight from the source” data is the most useful data when making such important, long-term decisions.

The Rules: Everyone’s responses will be 100% anonymous. In order to have access to the survey’s results, you need to participate in the survey.

The Timeline: Please share your answers by Friday, July 12. We will share the results with you during the week of July 15th.

Question Title

* 1. Who is your current broker-dealer?

LPL

Raymond James

Cetera

Infinex

CUNA

CUSO / Sorrento Pacific

Ameriprise / IPI

Nest Egg

Other (please specify)

Question Title

* 2. How many years have you been with your current broker-dealer?

Question Title

* 3. What is your overall satisfaction level with your current broker-dealer?

Very Unsatisifed

Somewhat Unsatisifed

Slightly Unsatisifed

Neutral

Slightly Satisifed

Somewhat Satisifed

Very Satisifed

Very Unsatisifed

Somewhat Unsatisifed

Slightly Unsatisifed

Neutral

Slightly Satisifed

Somewhat Satisifed

Very Satisifed

Question Title

* 4. What is your satisfaction level for each of these services from your current broker-dealer?

	Very Unsatisifed	Somewhat Unsatisifed	Slightly Unsatisifed	Neutral	Slightly Satisifed	Somewhat Satisifed	Very Satisifed
Technology	Technology Very Unsatisifed	Technology Somewhat Unsatisifed	Technology Slightly Unsatisifed	Technology Neutral	Technology Slightly Satisifed	Technology Somewhat Satisifed	Technology Very Satisifed
Advisor Recruiting	Advisor Recruiting Very Unsatisifed	Advisor Recruiting Somewhat Unsatisifed	Advisor Recruiting Slightly Unsatisifed	Advisor Recruiting Neutral	Advisor Recruiting Slightly Satisifed	Advisor Recruiting Somewhat Satisifed	Advisor Recruiting Very Satisifed
Client Marketing / Client Acquisition	Client Marketing / Client Acquisition Very Unsatisifed	Client Marketing / Client Acquisition Somewhat Unsatisifed	Client Marketing / Client Acquisition Slightly Unsatisifed	Client Marketing / Client Acquisition Neutral	Client Marketing / Client Acquisition Slightly Satisifed	Client Marketing / Client Acquisition Somewhat Satisifed	Client Marketing / Client Acquisition Very Satisifed
Financial Package (Program Payout, Transition Payments, Technology Platform Fees, Advisor-Level Charges, Client-Level Fees)	Financial Package (Program Payout, Transition Payments, Technology Platform Fees, Advisor-Level Charges, Client-Level Fees) Very Unsatisifed	Financial Package (Program Payout, Transition Payments, Technology Platform Fees, Advisor-Level Charges, Client-Level Fees) Somewhat Unsatisifed	Financial Package (Program Payout, Transition Payments, Technology Platform Fees, Advisor-Level Charges, Client-Level Fees) Slightly Unsatisifed	Financial Package (Program Payout, Transition Payments, Technology Platform Fees, Advisor-Level Charges, Client-Level Fees) Neutral	Financial Package (Program Payout, Transition Payments, Technology Platform Fees, Advisor-Level Charges, Client-Level Fees) Slightly Satisifed	Financial Package (Program Payout, Transition Payments, Technology Platform Fees, Advisor-Level Charges, Client-Level Fees) Somewhat Satisifed	Financial Package (Program Payout, Transition Payments, Technology Platform Fees, Advisor-Level Charges, Client-Level Fees) Very Satisifed
Advisor Portal	Advisor Portal Very Unsatisifed	Advisor Portal Somewhat Unsatisifed	Advisor Portal Slightly Unsatisifed	Advisor Portal Neutral	Advisor Portal Slightly Satisifed	Advisor Portal Somewhat Satisifed	Advisor Portal Very Satisifed
Cultural Fit	Cultural Fit Very Unsatisifed	Cultural Fit Somewhat Unsatisifed	Cultural Fit Slightly Unsatisifed	Cultural Fit Neutral	Cultural Fit Slightly Satisifed	Cultural Fit Somewhat Satisifed	Cultural Fit Very Satisifed
Client Experience	Client Experience Very Unsatisifed	Client Experience Somewhat Unsatisifed	Client Experience Slightly Unsatisifed	Client Experience Neutral	Client Experience Slightly Satisifed	Client Experience Somewhat Satisifed	Client Experience Very Satisifed
Advisor Coaching	Advisor Coaching Very Unsatisifed	Advisor Coaching Somewhat Unsatisifed	Advisor Coaching Slightly Unsatisifed	Advisor Coaching Neutral	Advisor Coaching Slightly Satisifed	Advisor Coaching Somewhat Satisifed	Advisor Coaching Very Satisifed
Social Media Tools and Expertise	Social Media Tools and Expertise Very Unsatisifed	Social Media Tools and Expertise Somewhat Unsatisifed	Social Media Tools and Expertise Slightly Unsatisifed	Social Media Tools and Expertise Neutral	Social Media Tools and Expertise Slightly Satisifed	Social Media Tools and Expertise Somewhat Satisifed	Social Media Tools and Expertise Very Satisifed
Financial Planning Tools	Financial Planning Tools Very Unsatisifed	Financial Planning Tools Somewhat Unsatisifed	Financial Planning Tools Slightly Unsatisifed	Financial Planning Tools Neutral	Financial Planning Tools Slightly Satisifed	Financial Planning Tools Somewhat Satisifed	Financial Planning Tools Very Satisifed
Compliance / Supervision	Compliance / Supervision Very Unsatisifed	Compliance / Supervision Somewhat Unsatisifed	Compliance / Supervision Slightly Unsatisifed	Compliance / Supervision Neutral	Compliance / Supervision Slightly Satisifed	Compliance / Supervision Somewhat Satisifed	Compliance / Supervision Very Satisifed
Firm Ownership	Firm Ownership Very Unsatisifed	Firm Ownership Somewhat Unsatisifed	Firm Ownership Slightly Unsatisifed	Firm Ownership Neutral	Firm Ownership Slightly Satisifed	Firm Ownership Somewhat Satisifed	Firm Ownership Very Satisifed

Question Title

* 5. What is your satisfaction level for these components of your Financial Package?

	Very Unsatisifed	Somewhat Unsatisifed	Slightly Unsatisifed	Neutral	Slightly Satisifed	Somewhat Satisifed	Very Satisfied
Program Payout	Program Payout Very Unsatisifed	Program Payout Somewhat Unsatisifed	Program Payout Slightly Unsatisifed	Program Payout Neutral	Program Payout Slightly Satisifed	Program Payout Somewhat Satisifed	Program Payout Very Satisfied
Transition Payments / Sign-On Bonus	Transition Payments / Sign-On Bonus Very Unsatisifed	Transition Payments / Sign-On Bonus Somewhat Unsatisifed	Transition Payments / Sign-On Bonus Slightly Unsatisifed	Transition Payments / Sign-On Bonus Neutral	Transition Payments / Sign-On Bonus Slightly Satisifed	Transition Payments / Sign-On Bonus Somewhat Satisifed	Transition Payments / Sign-On Bonus Very Satisfied
Technology Platform Fees	Technology Platform Fees Very Unsatisifed	Technology Platform Fees Somewhat Unsatisifed	Technology Platform Fees Slightly Unsatisifed	Technology Platform Fees Neutral	Technology Platform Fees Slightly Satisifed	Technology Platform Fees Somewhat Satisifed	Technology Platform Fees Very Satisfied
Advisor-Level Charges (i.e. E&O Insurance, CRM, Financial Planning, Research)	Advisor-Level Charges (i.e. E&O Insurance, CRM, Financial Planning, Research) Very Unsatisifed	Advisor-Level Charges (i.e. E&O Insurance, CRM, Financial Planning, Research) Somewhat Unsatisifed	Advisor-Level Charges (i.e. E&O Insurance, CRM, Financial Planning, Research) Slightly Unsatisifed	Advisor-Level Charges (i.e. E&O Insurance, CRM, Financial Planning, Research) Neutral	Advisor-Level Charges (i.e. E&O Insurance, CRM, Financial Planning, Research) Slightly Satisifed	Advisor-Level Charges (i.e. E&O Insurance, CRM, Financial Planning, Research) Somewhat Satisifed	Advisor-Level Charges (i.e. E&O Insurance, CRM, Financial Planning, Research) Very Satisfied
Client-Level Fees (Account Fees)	Client-Level Fees (Account Fees) Very Unsatisifed	Client-Level Fees (Account Fees) Somewhat Unsatisifed	Client-Level Fees (Account Fees) Slightly Unsatisifed	Client-Level Fees (Account Fees) Neutral	Client-Level Fees (Account Fees) Slightly Satisifed	Client-Level Fees (Account Fees) Somewhat Satisifed	Client-Level Fees (Account Fees) Very Satisfied

Other (please specify)

Question Title

* 6. How satisfied are you with how your current broker-dealer supports your program GROWTH goals?

Very Unsatisifed

Somewhat Unsatisifed

Slightly Unsatisifed

Neutral

Slightly Satisifed

Somewhat Satisifed

Very Satisifed

Very Unsatisifed

Somewhat Unsatisifed

Slightly Unsatisifed

Neutral

Slightly Satisifed

Somewhat Satisifed

Very Satisifed

Question Title

* 7. When your contract with your current BD expires, how likely are you to explore other BD partners through an RFP process?

Very Unlikely

Unlikely

Not Sure

Likely

Very Likely

Very Unlikely

Unlikely

Not Sure

Likely

Very Likely

Other (please specify)

Question Title

* 8. As you look forward over the next 3 years, how important are the following to you and your firm?

	Not Applicable	Not Important	Somewhat Important	Very Important	Critically Important
Technology	Technology Not Applicable	Technology Not Important	Technology Somewhat Important	Technology Very Important	Technology Critically Important
Advisor Recruiting	Advisor Recruiting Not Applicable	Advisor Recruiting Not Important	Advisor Recruiting Somewhat Important	Advisor Recruiting Very Important	Advisor Recruiting Critically Important
Client Marketing / Client Acquisition	Client Marketing / Client Acquisition Not Applicable	Client Marketing / Client Acquisition Not Important	Client Marketing / Client Acquisition Somewhat Important	Client Marketing / Client Acquisition Very Important	Client Marketing / Client Acquisition Critically Important
Financial Package (Program Payout, Transition Payments, Tech Platform Fees, Advisor-Level Charges, Client-Level Fees)	Financial Package (Program Payout, Transition Payments, Tech Platform Fees, Advisor-Level Charges, Client-Level Fees) Not Applicable	Financial Package (Program Payout, Transition Payments, Tech Platform Fees, Advisor-Level Charges, Client-Level Fees) Not Important	Financial Package (Program Payout, Transition Payments, Tech Platform Fees, Advisor-Level Charges, Client-Level Fees) Somewhat Important	Financial Package (Program Payout, Transition Payments, Tech Platform Fees, Advisor-Level Charges, Client-Level Fees) Very Important	Financial Package (Program Payout, Transition Payments, Tech Platform Fees, Advisor-Level Charges, Client-Level Fees) Critically Important
Advisor Portal	Advisor Portal Not Applicable	Advisor Portal Not Important	Advisor Portal Somewhat Important	Advisor Portal Very Important	Advisor Portal Critically Important
Cultural Fit	Cultural Fit Not Applicable	Cultural Fit Not Important	Cultural Fit Somewhat Important	Cultural Fit Very Important	Cultural Fit Critically Important
Client Experience	Client Experience Not Applicable	Client Experience Not Important	Client Experience Somewhat Important	Client Experience Very Important	Client Experience Critically Important
Advisor Coaching	Advisor Coaching Not Applicable	Advisor Coaching Not Important	Advisor Coaching Somewhat Important	Advisor Coaching Very Important	Advisor Coaching Critically Important
Social Media Tools and Expertise	Social Media Tools and Expertise Not Applicable	Social Media Tools and Expertise Not Important	Social Media Tools and Expertise Somewhat Important	Social Media Tools and Expertise Very Important	Social Media Tools and Expertise Critically Important
Financial Planning Tools	Financial Planning Tools Not Applicable	Financial Planning Tools Not Important	Financial Planning Tools Somewhat Important	Financial Planning Tools Very Important	Financial Planning Tools Critically Important
Compliance / Supervision	Compliance / Supervision Not Applicable	Compliance / Supervision Not Important	Compliance / Supervision Somewhat Important	Compliance / Supervision Very Important	Compliance / Supervision Critically Important
Firm Ownership	Firm Ownership Not Applicable	Firm Ownership Not Important	Firm Ownership Somewhat Important	Firm Ownership Very Important	Firm Ownership Critically Important

Question Title

* 9. What is your role?

Question Title

* 10. If you would like a copy of the results, share your name and email with us and we'll send the early results to you during the week of July 15th and the final results the following week.

First Name

Last Name

Company Name

Title

Phone (optional)

Question Title

* 1. Who is your current broker-dealer?

Question Title

* 2. How many years have you been with your current broker-dealer?

Question Title

* 3. What is your overall satisfaction level with your current broker-dealer?

Question Title

* 4. What is your satisfaction level for each of these services from your current broker-dealer?

Question Title

* 5. What is your satisfaction level for these components of your Financial Package?

Question Title

* 6. How satisfied are you with how your current broker-dealer supports your program GROWTH goals?

Question Title

* 7. When your contract with your current BD expires, how likely are you to explore other BD partners through an RFP process?

Question Title

* 8. As you look forward over the next 3 years, how important are the following to you and your firm?

Question Title

* 9. What is your role?

Question Title

* 10. If you would like a copy of the results, share your name and email with us and we'll send the early results to you during the week of July 15th and the final results the following week.

Question Title

* 11. Totally Optional Question: If there was one thing you wish your BD could do better for your program, what would that be?