Third-Party Marketing Firms
AFFILIATED FINANCIAL SERVICES
7840 E. Berry Pl., S. 200 800/446-4237 Englewood, CO 80111 Larry Graham
Affiliated Financial Services, Inc. has been a pioneer in marketing fee-income products since 1983. Today we can assist financial institutions develop every aspect of a customized investment program. AFS possesses a unique blend of insurance, banking, securities and marketing expertise. We can assist banks, credit unions, and thrifts select products, train and motivate personnel, and design marketing programs, all of which enables our clients to realize a substantial increase to their bottom line.
COLONIAL LIFE & ACCIDENT 404/951-8833
5660 New Northside Drive, #475 Atlanta, GA 30328 Jeffrey F. Gassell, Marketing Director
COMPULIFE INC. 800/726-9000
2820 Waterford Lake Drive/Suite 103 Midlothian, VA 23112 Stephen R. Duff, VP
A marketing partnership with Compulife delivers to institutions a full-service nondeposit investment program which complies with the InterAgency guidelines of February 15, 1994. Products and services include fixed and variable annuities, mutual funds, discount brokerage, and long-term care alternatives. By focusing on institutional needs and customer satisfaction, Compulife customizes each institution's program. Compulife's computerized sales and compliance system, th IQ System, provides thorough description of products, monitors the presentation incorporates all regulatory requirements, and provides an "audit trail" for management. Training for licensed and registered investment representatives, as well as unlicensed branch support is provided.
Compulife's services are provided by two corporate entities: Compulife, Inc. an insurance agency, and Compulife Investor Services, Inc., a full services broker-dealer with membership in the NASD, MSRB and SIPC. Proactive in today's regulatory environment, Compulife has presented its program to the OTS, FDIC an was the first to have its sales and marketing materials reviewed by the OCC.
COVERDELL & COMPANY
404/262-9100 2622 Piedmont Road, N.E. FAX: 262-3684 Atlanta, GA 30324 Michael Levison, Chief Executive Officer
Thirty year-old, Atlanta-based marketing firm offering multi-product direct marketing insurance programs designed for financial institutions to strengthen customer relationships and increase profits.
PO Box 587/87 Main Street 908/781-2006 Peapack, NJ 07977 James J. Fridl
Cross Marketing nationally distributes quality annuities, life insurance, and mutual funds for 14 highly rated insurance companies and 2800 mutual funds; and is the AEGON (the leading underwriter of fixed anuities sold by banks through PFL and Monumental Life) distributor in 19 Eastern states. Services include platform or dedicated personnel, turn-key insurance and investment operations and improving existing programs. Top-rated products, full-service brokerage, an computerized sales management, and marketing systems, are complemented by a training staff which includes leading authors of financial services management and consultative selling books. Training services are sold on a stand-alone basis.
800/621-2233 825 Third Avenue, 37th Floor New York, NY 10022 Kevin E. Crowe, Chairman
Essex is one of the largest and oldest national wholesalers of mutual funds and annuities, providing services to more than 250 financial institutions. Essex ha relationships with some of the largest and best-known insurance and mutual fund companies. Its broker/dealer is available to provide processing of securities and variable annuity transactions for banks needing a broker/dealer. Branch-based, dedicated sales force and turn-key programs are also available.
EQUIFAX CARD SERVICES
P.O. Box 31065 800/237-2997 Tampa, FL 33633-0925 FAX: 813/885-7258 Bob Bolt, National Sales Manager
ECS, the nationally endorsed provider of the IBAA Main Street !R^ Checking program, providing packaged insurance, shopping, travel, healthcare and securit benefits to IBAA banks.
FAMILY ONE 414/289-3100
111 E. Kilbourn Ave., S. 1850 FAX: 278-0117 Milwaukee, WI 53202 Tim Fetherston
FINANCIAL NETWORK INVESTMENT CORPORATION 800/879-8100
2780 Skypark Drive #300 Fax: 310/784-1198 Torrance, CA 90505 Jack Henry
FNIC is one of the largest independent full-service broker/dealers in the nation. Our Financial Institution Division has set up Investment Centers nationwide to provide a full line of high quality, non-proprietary products, plus local training, supervision and comprehensive marketing support through ou Regional Directors.
FINANCIAL SERVICE CORP.
404/916-6500 3454 Windy Ridge Parkway FAX: 916-6502 Atlanta, GA 30339 Roger Allen, SVP
P.O. Box 40726 Nashville, TN 37204 Mary Buckner, VP Marketing
Serving over 6,000 financial institutions with retail marketing strategies and insurance programs to grow the retail base, increase fee income and strengthen relationships. 25-year track record.
P.O. Box 490/Two Union Sq., S. 5600 Seattle, WA 98111 Mr. Hans Carstensen III, SVP
GNA is a leading provider of annuities, insurance and mutual funds through financial institutions, offering its own proprietary products and those of othe insurance and mutual fund companies. GNA provides complete sales and marketing programs, thorough training and superior customer service. Field support is provided nationwide by dedicated sales professionals.
THE HOLDEN GROUP 800/677-SPDA
11365 W. Olympic Blvd. Los Angeles, CA 90064 Michael R. McCoy, SVP
In business since 1973, this firm is wholly-owned by London Insurance Group. Th Holden Group markets insurance, annuity and mutual fund products on a turn-key basis, or through the institution's own personnel. Holden has been exclusively endorsed by the ABA and 14 state banking associations.
INDEPENDENT FINANCIAL MARKETING GROUP, INC. 914/997-5600
244 Westchester Ave., 2nd Fl. FAX: 997-5049 White Plains, NY 10604 Roderick J. Halvorson, President
Independent Financial Marketing Group, Inc., noted for its independence of any product provider and flexible delivery options, is one of the nation's top ten third-party marketers of alternative investment programs to financial institutions. The firm's focus is on tailoring alternative investment programs to the needs and objectives of the individual institution and on working together with the institution to achieve success. Currently, Independent Financial has contracts with 95 financial institutions in 29 states.
INVEST FINANCIAL CORP.
5404 Cypress Center Dr. 800/242-4732 Tampa, FL 33609 FAX:813/289-6032 Debbie Harrison
INVEST Financial Corporation, member NASD and SIPC, the nation's largest distributor of insurance and securities products through banks and savings institutions, has assisted financial institutions across the country by buildin and managing a wide range of investment programs. In addition to traditional programs, institutions under $150 million in assets can utilize all of the products and services offered through INVEST through the Community Bank Program !SM^ and Correspondent Bank Program !SM^. Selected services can also be purchased directly from INVEST to complement an existing brokerage program through INVEST Outsource Services !SM^. *Annuities and insurance products are provided through INVEST Financial Corporation subsidiary insurance agencies.
INVESTMENT CENTERS OF AMERICA
212 North 4th Street 701/255-6060 Bismarck, ND 58501 Tom E. Gunderson
Investment Centers offers full brokerage service to the bank's customers and prospective customers, thereby making the bank truly a full-service institution
INVESTORS MARKETING SERVICES
230 Broadway East 800/462-2551 Lynnfield, MA 01940 Ted Charles
THE LAUGHLIN GROUP 800/929-4427 8305 S.W. Creekside Place 503/526-5462 Beaverton, OR 97005 Michael Denton
Laughlin Group offers a wide array of investment products, programs and support services to retail and trust divisions of more than 150 financial institutions nationwide.
LCL INVESTMENTS, INC. 708/343-4450
1440 W. North Avenue, S. 400 FAX: 343-4460 Melrose Park, IL 60160 Sarah Sleight
LIBERTY FINANCIAL 800/253-4108
600 Atlantic Avenue 617/722-6000 Boston, MA 02210 Ronald S. Robbins, President
Liberty Financial Bank Group provides securities and annuity marketing programs to financial institutions across the U.S. The principal operating company is Liberty Securities Corp., a registered securities broker/dealer and licensed general agency.
LINSCO/PRIVATE LEDGER 800/877-7210
5871 Oberlin Drive San Diego CA 92121 David Freeman
MARKETING ONE INC. 800/632-5678
851 S.W. Sixth Avenue Portland, OR 97204 Jim Truax, SVP
Marketing One is a leader in providing annuity, securities and mutual fund products and programs to financial institutions nationwide. Since 1983, Marketing One has assisted over 300 institutions in establishing programs for annuities or mutual funds, has trained over 7,500 individuals, and generated sales of over $10 billion in annuities and securities products. Marketing One offers a full range of programs to meet the institution's needs.
9020 North May Ave., S. 290 800/776-4MAP Oklahoma City, OK 73120 Steve Sheperd
Mid-America Partners is the successor to Landmark Financial of Citibank fame. The company provides complete marketing service support for mutual funds, annuities and traditional insurance. The focus is on partnerships, with a special emphasis on independent actuarial due diligence, training and sophisticated technology and tracking systems.
JAMES MITCHELL & COMPANY
619/450-0055 9710 Scranton Road, Suite 100 San Diego, CA 92121 Brian Finneram, President
PLANCO 800/523-7798 16 Industrial Blvd. FAX: 610/640-0350 Paoli, PA 19301 Kevin Connor, Vice President
PLANCO offers you EXPERIENCE: Since 1977, PLANCO has sold over $20 billion in annuities. COMMITMENT: PLANCO devotes its entire staff and total capabilities t selling annuities. RESOURCES: PLANCO provides national wholesaler coverage, sales/referral/product training and access to a large, experienced customer-support team. Join PLANCO's Winning Team Today!
PRIMEVEST FINANCIAL SERVICES
P.O. Box 283 612/656-4300 Ext. 4358 St. Cloud, MN 56302-0283 R. Michael Gholson, VP
PRIMEVEST Financial Services provides a full range of investment products and annuities through its full-service and discount brokerage programs. These programs utilize current bank employees or integrate experienced brokerage representatives. The company provides continuous training, customer seminars an marketing support.
TALBOT FINANCIAL SERVICES
6565 Americas Pwy., S. 840 800/829-5445 Albuquerque, NM 87110 Philip F. Kneib, SVP
Specialists in custom-designed annuity and securities programs for financial institutions since 1985. Over 25 years of banking experience. Full-service brokerage available.
T.H.E. FINANCIAL GROUP 717/766-4551 5010 Ritter Road FAX: 691-3299 Mechanicsburg, PA 17055 Alan Evans, Principal
ROBERT THOMAS SECURITIES
880 Carillon Parkway 800/752-2657 St. Petersburg, FL 33716 FAX: 816/471-5234 Brewster Ellis, President
RTS Financial Institutions Division (FID) provides full-service securities and annuities programs to community financial institutions. A wholly-owned subsidiary of Raymond James Financial, we offer a flexible approach with no emphasis on proprietary products and very competitive revenue sharing.
128 S. Tryon Street, Suite 1340 Charlotte, NC 28202 Stephen Robison, President
UVEST, established in 1982, provides a comprehensive package of investment products through its full service and discount brokerage programs. UVEST programs provide full field sales and marketing support through training, collateral materials and skills development along with detailed sales tracking to the branch and employee level through the proprietary UVESTOR software package.
WALL STREET INVESTOR SERVICES
17 Battery Pl., 25th Fl. 800/925-5781 New York, NY 10004 Eric Alexander, EVP
Mutual Fund Firms
A I M DISTRIBUTORS INC.
11 Greenway Plaza, S. 1919 800/578-4246 Houston, TX 77046 Michael Vessels
For more than 16 years, the A I M Management Group Inc. has provided leadership in the mutual fund industry. Currently managing nearly $27 billion in assets fo individual investors, financial institutions and corporate clients, A I M ranks among the country's top 20 mutual fund managers in assets under management.
ALLIANCE CAPiTAL MANAGEMENT
800/752-1590 1345 Avenue of the Americas, 33rd Fl. New York, NY 10105 William O'Grady
1900 E. Dublin-Granville Rd. 614/899-4633 Columbus, OH 43229 FAX: 899-5593 Mark Dillon
The Winsbury Company, a subsidiary of the BISYS Group, creates custom-designed proprietary mutual funds for organizations who provide investment management expertise. Winsbury delivers high quality investment support services including underwriting, administration and compliance, distribution, fund accounting and daily pricing, shareholder servicing, and complete marketing and sales support. These services are custom-packaged to meet each client's unique needs.
BLANCHARD GROUP 800/821-3265
41 Madison Avenue FAX: 802/253-9765 New York, NY 10010 Tony Beard, Institutional Sales
Offers your bank's clients easy and low cost access to some of the world's top independent portfolio managers. Instead of in-house management, Blanchard makes it a policy to seek out and retain the world's most respected and talented independent portfolio management teams, and make their services available through the convenience of U.S. based mutual funds. These highly regarded managers include: Fiduciary Trust (Global Growth Fund), Cavaleti Capital Management (Precious Metals Fund), Lombard Odier (Short-Term Global Income Fund), Martin Currie Inc. (Emerging Markets Growth & Income Fund), OFFITBANK (Flexible Income Fund & Short-Term Bond Fund), Provident Investment Counsel (American Equity Fund), and U.S. Trust Company (Flexible Tax-Free Bond Fund). Please call to discuss how we can work together.
COLONIAL GROUP 800/225-2365
One Financial Center Boston, MA 02111-2621 Jeffrey McGregor
DREYFUS SERVICE CORP.
200 Park Avenue 212/922-6660 New York, NY 10166 Donald Nanfeldt, EVP
A leader in the mutual fund industry for over 40 years. Dreyfus offers a broad range of programs designed for all banking departments. Programs include: low-expense cash management funds for trust, custody, and agency departments; and fee-generating money market and load funds for retail and securities sales departments.
FEDERATED INVESTORS 800/245-5000
Federated Investors Tower Pittsburgh, PA 15222-3779 James F. Getz, President
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES CO. 617/570-5512
82 Devonshire Street L12C FAX: 345-0626 Boston, MA 02109 Pamela Moore Simi
Fidelity offers products and services designed to meet the needs of bank trust departments, broker dealers, capital markets departments and retail banking. These include: equity and fixed income funds; money market funds; asset allocation services; a turnkey 401(k) program; a PC-based mutual funds trading system, bank employed training programs and marketing support for integrating mutual funds within a bank; and administration, distribution and marketing services for proprietary funds.
FORTIS FINANCIAL GROUP 800/800-2638
500 Bielenberg FAX: 612/738-4185 Woodbury, MN 55125 Kyle Selberg, VP Sales
FRANKLIN/TEMPLETON DIST. 415/312-3085
777 Mariners Island Blvd. San Mateo, CA 94404 Kent Strazza, National Sales Manager
JOHN HANCOCK 617/375-1883
101 Huntington Avenue Boston, MA 02199 Bill Benintende
5404 Cypress Center Drive Tampa, FL 33609 Jeff Thornton
Kemper provides a full range of mutual fund, annuity and insurance products to over 500 banks and thrifts nationwide. The company also offers complete training, support and ongoing services.
KEYSTONE GROUP 800/539-8440
200 Berkeley Street FAX: 617/338-3737 Boston, MA 02116 Peter M. Delehanty, SVP
Keystone, established in 1932, is one of America's original mutual fund companies. Through its Bank Services Division, Keystone offers an investment philosophy based on managing risk; flexible pricing with A, B and C shares; dedicated bank sales support, responsive, quality service, and effective bank-qualified merchandising.
MFS FINANCIAL SERVICES
500 Boylston St. 800/343-2829 Boston, MA 02116 Lisa M. Jones, VP
MFS, America's first mutual fund company (1924) has been working with financial institutions to sell mutual funds and variable annuities since 1986. The firm's dedicated sales staff provides clients with seminars, teller and referral training programs.
2 World Trade Ctr., 33rd Fl. 800/243-4790 New York, NY 10048 Maryann Bruce, SVP
Oppenheimer Funds manages over $27 billion in mutual fund assets. The firm's Financial Institution Division has a dedicated sales team to serve the unique needs of the financial institution marketplace. Regional sales managers provide local servicing, branch referral training, product knowledge, seminar support, sales and referral ideas and marketing materials designed exclusively for representatives located in banks, credit unions and thrifts. Internal regional sales representatives are available on a daily basis by telephone to answer questions about the firm's funds, as well as provide timely sales ideas, produc and market information. Call 800-255-2770 for more information.
PIONEER MUTUAL FUNDS
800/821-1239 60 State Street Boston, MA 02109 Barry G. Knight, VP Institutions Sales
Since 1928, Boston-based Pioneer has been in the forefront of helping investors build sensible, prudent portfolios to meet major lifetime goals.
Over these six decades, Pioneer has followed its philosophy of Basic Value Investing, which involves personal, first-hand knowledge of the companies we invest in, as well as a thorough understanding of their businesses, products an markets. A company devoted to original research, Pioneer employs a large staff of full-time investment analysts, each of whom has an average of 16 years of professional experience, either in the investment field or from a blend of investment and industry positions. Pioneer is one of the oldest, most experienced money managers in the U.S. and will provide you with a consistent, openly described, conservative investment approach--not with surprises.
Pioneer now manages over $11 billion in 25 mutual funds and private institutional accounts for more than 900,000 investors. Many of Pioneer's mutua funds are available in Class A and Class B shares. Since in our beginnings, Pioneer has refrained from investing in companies whose primary business is alcohol, tobacco, or gambling.
Pioneer Mutual Funds Financial Institutions Division is staffed by a team of professionals dedicated to the specialized needs of banks, savings and loans, and credit unions. Pioneer's financial institutions team specializes in designing and delivering sales training for bank personnel. With 5 Regional Vic Presidents located across the country to provide local sales and marketing support, as well as in-house staff of Bank Marketing Representatives available to answer product questions and offer sales ideas, Pioneer is well equipped to meet your unique needs. In addition, our servicing division provides responsive conscientious care with shareholder account processing and with account inquiries for both retail shareholders and bank professionals. The quality of our service arm was recognized in 1993 when we won the Massachusetts Quality Award for Excellence in service.
If your clients are looking for a conservative, professionally managed, consistent, long-term program, call Pioneer.
PUTNAM INVESTMENTS 800/225-2465
One Post Office Sq. FAX: 617/423-3819 Boston, MA 02109 Lou Tasiopoulos
Putnam Investments was founded in 1937 and currently manages over $90 billion i assets. Putnam's dedicated Financial Institutions Division supports sales of it mutual funds and variable annuities in more than 325 banks nationwide.
SEI CORPORATION 610/254-1000
680 East Swedesford Road FAX: 989-0594 Wayne, PA 19087 Dennis McGonigle
T. ROWE PRICE 410/625-6515
100 East Pratt Street FAX: 385-1761 Baltimore, MD 21202 Hannes van Wagenberg
T. ROWE Price serves as investment advisor to 55 mutual funds, many of which ar used by banks. We are offering 3 new equity variable annuity funds cloning thre existing funds which have excellent long-term track records and can help you attract assets to your annuity program. For more information call 1(800)638-789 extension 6515.
THOMSON INVESTOR SVCS. 203/352-4900
One Station Place, 7th Fl. FAX: 203/352-4901 Stamford, CT 06902 Brian Trunbore
TRANSAMERICA FUNDS 713/751-2737
1000 Louisiana Street, Suite 6000 Houston, TX 77002 Carolyn Kling
VAN KAMPEN MERRITT 800/225-2222
One Parkview Plaza Oakbrook Terrace, IL 60181 Scott West
AEGON USA 800/551-4042
4333 Edgewood Road N.E. Cedar Rapids, IA 52499 Scott Bennett, VP
A subsidiary of AEGON USA Inc. and a leading provider of fixed annuities to financial institutions. Full-service broker/dealer and investment services are offered through AEGON USA Securities Inc. The company specializes in marketing variable and fixed annuities and mutual funds. Services include product and sales training marketing support and research, referral sales and sales tracking.
AMERICAN LIFE & CASUALTY
P.O. Box 9162 515/284-7500 Des Moines, IA 50306 FAX: 515/242-3216 Walter Hughes, EVP
American Life markets deferred annuity contracts in financial institutions through the assistance of its contracted agency force. Sales and product training help are available.
JACKSON NATIONAL LIFE 800/777-7900
5901 Executive Drive FAX: 517/394-3505 Lansing, MI 48911 Sharon McGowan
Jackson National Life provides the finest products and services to banks, credi unions, stock brokerage houses and third-party marketing companies. Exceptional track record. Knowledgeable marketing staff and premier service department. Sales training available.
JEFFERSON-PILOT LIFE 800/368-3968
100 N. Greene Street FAX: 800/249-1339 Greensboro, NC 27401 Chris Cowen, Manager Institutional Sales
With more than $4.5 billion in assets and a capital ratio of 20.3%, Jefferson-Pilot is one of the nation's strongest life insurance companies. Jefferson-Pilot specializes in providing investment products to financial institutions. Sales and marketing support include comprehensive training, computer support, sales material and a sales tracking system.
KEYPORT LIFE 617/526-1460
125 High Street Boston, MA 02110 John E. Arant
Keyport provides fixed and variable annuities to more than 400 financial institutions through third-party marketing firms and direct relationships. Keyport was the 3rd-largest distributor of annuities in banks in 1993.
MINNESOTA MUTUAL LIFE 612/298-3700
400 Robert Street N. St. Paul, MN 55101 John Bruder, SVP
SUNAMERICA, INC. 800/445-7961 Ext. 6420
One SunAmerica Center FAX: 310/772-6377 Los Angeles, CA 90067-6022 Clifford Jack, SVP Financial Institution Sales
UNITED COMPANIES LIFE
504/800-825-3310 FAX: 504/922-4315 P.O. Box 1591 Baton Rouge, LA 70821 Keith Cook, SVP
United Companies has a rate history for annuities dating to 1974 and has developed annuities for major securities firms, banks and thrifts since 1978.
Securities Brokerage Firms
BHC SECURITIES INC. 215/636-3725 2005 Market Street, 12th Fl. Philadelphia, PA 19103-3212 Al Beale, VP
BHC is singularly focused on brokerage processing for financial institutions. The products and services BHC offers integrate smoothly with bank securities activities and mutual fund products. Assets held away are reported on the consolidated brokerage statement. Whether your need is for proprietary fund sweeps, retirement plan products, branch quotes, suitability, sales tracking or capital markets integration, BHC is your best source for transaction processing
BANKERS & INVESTORS 816/842-3010
912 Baltimore Kansas City, MO 64105-1710 Riley Maher
CONCORD FINANCIAL 800/758-3863 125 W. 55th Street, 11th Floor New York, NY 10019 Beth R. Wall, AVP
Concord is the leading firm in development, sponsorship, distribution and administration of proprietary mutual funds. Concord's performance in growth of assets for its clients' funds is unmatched by any distributor in the industry. From marketing and product development to compliance and operations, Concord possesses the expertise necessary to assist in building market share and achieving profit objectives.
FIMCO SECURITIES GROUP 414/289-3100
111 E. Kilbourn Ave., S. 1850 FAX: 278-0117 Milwaukee, WI 53202 Tim Fetherston
440 FINANCIAL GROUP 800/342-0440 440 Lincoln Street FAX: 508/853-3317 Worcester, MA 01653 John Florence
44O Financial Group provides fully integrated marketing, distribution, administration and operational support for banks sponsoring mutual funds. Services encompass retail and institutional marketing and distribution, 401(k) administration and record-keeping, inbound/outbound telemarketing, full transfe agency and shareholder support, global and domestic fund accounting, custody an administration. Experienced mutual fund professionals work with clients as business partners to grow fund assets through both institutional and retail distribution channels.
INVESTORS CAPITAL 800/949-1422
230 Broadway, East Lynnfield, MA 01940
MERIDIAN SECURITIES, INC. 610/655-3214
601 Penn Street FAX: 655-0987 Reading, PA 19601 Tim White
NATIONAL FINANCIAL 800/752-7053
82 Devonshire Street Boston, MA 02109 Joseph R. Kelly, SVP
The leading provider of clearing, execution and information management services to bank broker/dealers, National Financial, a Fidelity Investments Company, can meet the needs of full-service brokerage, capital markets, private banking and trust divisions. The FUNDSMART program offers over 2,000 mutual funds, with positions accurately reflected on the system, customer statements, and year-end 1099 tax forms. National Financial supports more bank proprietary mutual funds than any other clearing firm, with over $12 billion in mutual fund assets and over $1 billion in proprietary fund assets.
SECURITIES AMERICA, INC. 800/747-6111
7100 West Center Road FAX: 402/399-9573 Omaha, NE 68106 Sylvia N. DeWitt
SIGNATURE FINANCIAL 212/644-1400 437 Madison Ave., 39th Fl. FAX: 644-1929 New York, NY 10022 James E. Hoolahan
Signature Financial provides a comprehensive range of investment fund services to U.S.-based investment advisors. Signature's fund services include: administration, distribution/sponsorship, custody, fund accounting and Hub and Spoke !R^ implementation and processing. Our offices are located in Boston, New York, London, Toronto and Grand Cayman.
111 Center St., S. 300 FAX: 377-2331 Little Rock, AR 72201 Greg Feltus, SVP
Stephens provides wholesale brokerage clearing and support services exclusively to bank-owned broker/dealers. Stephens Financial Services Group specializes in helping financial institutions establish either a dual employee program and/or develop B/D subsidiaries. Stephens supports bank brokerage activities with services that include sales and marketing support, trading and research. Client banks are able to provide a complete line of investment products and annuities to their customers. Offering fully automated systems, research, trading, compliance and superior operations support, Stephens is recognized as a leader in the bank brokerage industry.
Securities Processing Services
AMERITRADE, INC. 402/331-2740
4211 South 102nd Street FAX: 597-7779 Omaha, NE 68127-1031 Ron Beran
KENNY S&P 212/770-4500 65 Broadway FAX: 212/344-0694 New York, NY 10006 Kenny S&P Sales Desk
PERSHING/DIVISION OF DLJ 201/413-3343
One Pershing Plaza FAX: 413-5200 Jersey City, NJ 07399 Alton Jones, Managing Director
DIVERSIFIED MANAGEMENT 617/338-3040
Ten Post Office Square, Suite 600 South Boston, MA 02109-4603 Robert J. Patrick, President
THE PRIMARY GROUP 407/869-4111
P.O. Box 916160 FAX: 682-3321 Longwood, FL 32791 Ken Friedman
DEARBORN FINANCIAL PUBLISHING
520 N. Dearborn St. 800/717-3650 Chicago, IL 60610 FAX: 312/836-9122 Mark E. Emmons
Whether you need to train one person or thousands, Dearborn Financial Publishing, Inc. can provide effective, cost efficient solutions for your securities training needs.
Software and Systems
APPLIED INFORMATION SOLUTIONS
1600 Wynkoop St., S. 300 303/893-8936 Denver, CO 80202 FAX: 893-5046 Ann C. Bennett
INGOT 100% PC-based system with a large user base, complete investor tracking for sales, commissions, distributions, escrow, on-line inquiry, 1099 and K-1 ta reporting for all direct investment products: Partnerships, LLC's, REITs, Trusts, and Asset Backed Securities. Call AIS for information.
HARDAN GROUP, INC. 212/697-2370
160 East 38th Street New York, NY 10016 Harvey Goldfisher, President
INNOVATIVE SYSTEMS, INC. 412/937-9300
790 Holiday Drive FAX: 937-9309 Pittsburgh, PA 15220-8127 Kathy K. Shoop
KINGLAND SYSTEMS 515/424-0844
P.O. Box 1501/9 N. Federal FAX:515/424-1056 Mason City, IA 50402-1501 David J. Kingland
The Financial Network System/400 ("FNS/400") allows bank broker/dealers to improve the flow of information and orders by combining all data processing services into one central hub. The system handles commission calculations, compliance auditing, sales reporting, electronic client cross reference accounting, quotes, news, and research dissemination and management reporting.
TRANSFER AGENT, INC. 703/777-1126
5 Cornwall Street, N.W. FAX: 771-9298 Leesbug, VA 22075 Anita D. Shirven, President
FAST shareholder accounting software tracks transactions for noload, load, mone market and bond funds at your location using a PC or Windows NT !TM^ client/server.
UNI-SOURCE 2000 INC. 314/822-3735
11040 Manchester Road, #200 FAX: 822-1053 St. Louis, MO 63122 Dan Lewis
If you want to practically eliminate third party collections and put the money back into your bottom line, call us! Collections is all we do.
AMERICAN BROKERAGE CONSULTANTS
405 Central Ave., 7th Fl. 813/898-5551 St. Petersburg, FL 33701 Richard Ayotte
American Brokerage Consultants is the oldest management consulting firm dedicated exclusively to bank investment services. It provides strategic assessment and counsel on alternative program approaches, structures and all matters related to sales of investment products by banking institutions. The firm publishes the Bankers Guide Series, a three-volume resource covering third-party firms, mutual fund companies and insurance companies, and it has a national database of bank investment services.
3265 Meridian Parkway FAX: 384-1540 Ft. Lauderdale, FL 33331 John H. Wright, VP Marketing
CHELSEA COURT 609/596-0416
8 Chelsea Court FAX: 596-9328 Marlton, NJ 08053 Paul E. Barry
MARCHIEL & ASSOCIATES 617/345-4145
200 State Street, 12th Fl. FAX: 345-4146 Boston, MA 02109 Thomas S. Marchiel
Marchiel & Associates is a full service management consulting firm established in 1987. Its purpose is to support management in the development and implementation of pragmatic business plans, with objectivity and specialized expertise. The firm offers operations and technical professionals with diverse business backgrounds in a broad range of operating areas, including:
* Business Planning,
* Back Office Productivity,
* Technology Application,
* Market Development,
* Special Project Support, and
* Professional Search.
NATIONAL ENDOWMENT FOR FINANCIAL EDUCATION 303/220-1200
4695 South Monaco Street Denver, CO 80237-3403 Helen Mulhern
The National Endowment for Financial Education !SM^ (NEFE !SM^) is an independent, nonprofit organization that provides a broad range of educational courses and programs to financial services professionals and the public. NEFE i the parent corporation of the Institute for Wealth Management !SM^, which administers the Asset Management Education Program: For Investment Professionals. Other NEFE divisions include the 22-year-old College for Financial Planning !R^, the Institute for Tax Studies !SM^, the Institute for Retirement Planning !SM^, the Public Education Center, and NEFE Press !SM^. For more information, call (303) 220-1200.
SUNSTONE FINANCIAL 414/271-5885
207 E. Buffalo St., S. 400 FAX: 271-9717 Milwaukee, WI 53202 Miriam M. Allison