2015 Symposium Las Vegas by J.W. Cole Financial

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We want to thank all of our sponsors for helping to bring a great 2015 Symposium experience to our Partner Advisors. Thank you for your support and partnership!

Platinum Product Alliance Partners • AssetMark • Atlas Energy LP • Realty Capital Securities Gold Product Alliance Partners • • • • • •

Brinker Capital Franklin Square Jackson National Life Midland National Annuity Midland National Life National Financial

• • • • • •

Sammons Retirement Solutions Security Benefit Sowell Management Services Steadfast Companies U.S. Energy Walton International

Silver Product Alliance Partners • • • • • •

Advisors Capital Management American Trust Retirement Capital Management Group Dressander BHC Financial Independence Group Howard Capital Management

• • • • • •

Hines Securities John Hancock MetLife The Pacific Financial Group VOYA Financial Weatherstone Capital Management

Bronze Product Alliance Partners • Ash Brokerage • BlackDiamond • Cole Capital

• Flexible Plan Investments • Griffin Capital • Inland Real Estate

The Marketplace

Advisors Capital Management Albridge Solutions American Trust Retirement Ash Brokerage AssetMark Atlas Energy LP BlackDiamond Brinker Capital Broadridge/Emerald Capital Management Group Cole Capital Dressander BHC Finance Logix Financial Independence Group

100 402 213 101 315 309 417 406 411 201 102 202 407 224

Flexible Plan Investments Franklin Square Griffin Capital Hines Securities Howard Capital Management Inland Real Estate Jackson National Life John Hancock Laser App Software MetLife Midland National Annuity Midland National Life National Financial Realty Capital Securities

104 404 106 211 205 114 226 218 405 220 408 207 413 410

Realty Capital Securities Realty Capital Securities Redtail Technology Sammons Retirement Solutions Security Benefit SmartOffice Sowell Management Services Steadfast Companies The Pacific Financial Group U.S. Energy VOYA Financial Walton International Weatherstone Capital Management

412 414 415 307 313 403 305 311 116 215 200 209 222

Facility Map General Sessions Area Vendôme C

Vendor Marketplace

Vendôme B

GENERAL SESSIONS

Vendôme A

VENDOR MARKETPLACE

JW Centric November 9th 9:30am - 11:30am

JWCollege November 10th 8:00am - 1:30pm

Paris Foyer Concorde A

LOIRE

J.W. Cole Home Office November 8th - 10th 8:00am - 4:00pm

BORDEAUX

BURGUNDY

November 11th 8:00am - 11:00am

Women of Cole November 8th 4:00pm - 7:00pm

Repetoire Workflow Training November 9th - 10th 8:00am - 4:00pm

Registration Desk

To Bally’s and to Breakout Rooms

2015 SYMPOSIUM AGENDA SNAPSHOT Monday, November 9th, 2015 8:00 – 1:00 Registration Desk Open/Vendor Marketplace open Vendôme A 8:30 – 9:30 Breakfast for participants Concorde A 9:30 – 11:30 JWCentric - Open Space Networking Concorde A - sponsored by Midland National and Sammons 1:30 – 1:45 Symposium Kick Off 1:45 – 2:45 State of the Company John Carlson & RJ Wood Vendôme B & C 2:45 – 3:30 From Mission to Vision Craig Towle Vendôme B & C 3:30 – 4:30 Leading with Purpose Ron Cordes, Executive Co-Chairman - sponsored by AssetMark Vendôme B & C 5:30 – 8:30 Reception @ Pool under Eiffel Tower (6:30 Awards Program) 3rd Floor - sponsored by Jackson National Life

Tuesday, November 10th, 2015 7:00 – 8:00 Breakfast with Product Alliance Partners Vendôme A - sponsored by Brinker Capital 8:00 – 1:30 JWCollege Gina Pelligrini + Lunch Loire 8:00 – 8:10 Recap Day 1, Preview Day 2 Craig Towle Vendôme B & C 8:10 – 9:10 JP Morgan – Guide to the Markets James Liu, Executive Director - sponsored by AssetMark Vendôme B & C 9:30 – 10:00 Breakout #1 Bally’s Palace Meeting Rooms 10:10 – 10:40 Breakout #2 Bally’s Palace Meeting Rooms 10:50 – 11:20 Breakout #3 Bally’s Palace Meeting Rooms 11:30 – 12:00 Breakout #4 Bally’s Palace Meeting Rooms 11:00 – 3:00 JWCasino Guest Event London Club @ Planet Hollywood - sponsored by Steadfast Companies 12:00 – 1:30 Lunch & Networking with Product Alliance Partners Vendôme A - sponsored by Sowell Management Services 1:30 – 2:20 Let Go & Lead! Gina Pellegrini Vendôme B & C 2:20 – 2:35 JWConnect 2.0 Jason Card Vendôme B & C 2:35 – 3:25 JWChat Vendôme B & C 3:25 – 4:15 Adding Comedy to Corporate Communications Jan McInnis - sponsored by Realty Capital Securities Vendôme B & C 5:30 – 6:30 Cocktail Reception RAT PACK - sponsored by U.S. Energy Vendôme A 6:30 – Black Tie Awards Dinner & Celebration Roy Firestone sponsored by ATLAS Energy LP Vendôme B&C

Wednesday, November 11th, 2015

7:00 – 8:00 Breakfast with Product Alliance Partners Vendôme A - sponsored by Franklin Square 8:00 – 8:10 Recap Day 2, Preview Day 3 Jason Card Vendôme B & C 8:10 – 9:00 The Intersection of Politics and Markets Greg Valliere, Chief Strategist - sponsored by Jackson National Life Vendôme B & C 9:00 – 10:30 Annual Compliance Meeting Paul Caron & Todd Pack Vendôme B & C 10:30 – 11:00 Closing Remarks & Reveal of Symposium 2016 John Carlson, RJ Wood, Craig Towle Vendôme B & C

MONDAY GENERAL SESSION 8:00 – 1:00 Registration Desk Open/Vendor Marketplace open

Vendôme A

8:30 – 9:30 Breakfast provided for JWCentric attendees

Concorde A

9:30 – 11:30 JWCentric - Open Space Networking Concorde A Sponsored by: Midland National Life and Sammons Retirement Solutions

1:30 – 1:45

Symposium Kick Off

1:45 – 2:45 State of the Company John Carlson & RJ Wood

Vendôme B & C

Our two Founding Principals discuss the accomplishments of our past year, the challenges facing our industry, and how we are shaping your firm around our formula for success.

2:45 – 3:30 From Mission to Vision Craig Towle

Vendôme B & C

From Point A to Point B… Getting from where you are to where you want to be. J.W. Cole has a mission to help Advisors build great businesses, and we have a vision to be relevant in helping all we touch in their journey down life’s path. Craig will talk about the influences and industry trends that are shaping the decisions we make at J.W. Cole in trying to become the best business partner possible for our Advisors.

3:30 – 4:30 Leading with Purpose Ron Cordes

Vendôme B & C Sponsored by:

The financial services industry is evolving. Changes in technology and client expectations mean advisors need to better define their value proposition in order to secure long-term client relationships. As competition continues to increase, the quality of the client experience and depth of the client relationship, become an advisor’s true differentiator. Learn how a purposedriven framework can deepen your client relationships, help you truly make a difference in the lives of your clients, and differentiate you in an increasingly competitive industry.

5:30 – 8:30 Reception @ Pool under Eiffel Tower (6:30 Awards Program) Sponsored by: Jackson National Life

3rd Floor

TUESDAY MORNING GENERAL SESSION 7:00 – 8:00 Breakfast with Product Alliance Partners - sponsored by: Brinker Capital

Vendôme A

8:00 – 1:30 JWCollege

Loire

*Details on next page

Gina Pelligrini + Lunch

8:00 – 8:10 Recap Day 1, Preview Day 2 Vendôme B & C

8:10 – 9:10

Vendôme B & C

Craig Towle

Sponsored by:

JP Morgan - Guide to the Markets James C. Liu James C. Liu, Executive Director, is a Global Market Strategist on the J.P. Morgan Funds Global Market Insights Strategy Team. In this role, James develops and communicates timely market and economic insights to financial advisors across the country. James is consistently ranked as a top speaker at major industry conferences and events. He has appeared on CNBC, Bloomberg and Fox Business, and is often quoted in the financial press. Prior to joining J.P. Morgan, James was a Partner at Copia Capital, a hedge fund in Chicago. In leading the firm’s economic and quantitative research, he successfully developed unique market perspectives and investment ideas for institutional long / short and market-neutral funds. Previously, he held roles at HSBC and Wellington Management. James is a CFA charterholder. He earned an MBA with honors from The University of Chicago Booth School of Business with concentrations in Analytic Finance, Economics, Econometrics and Statistics. He also holds a BA from The University of California, Berkeley.

9:30 – 10:00

Breakout #1 * view the following Breakout pages for details

10:10 – 10:40

Breakout #2 * view the following Breakout pages for details

10:50 – 11:20

Breakout #3 * view the following Breakout pages for details

11:30 – 12:00

Breakout #4 * view the following Breakout pages for details

11:00 – 3:00 JWCasino Guest Event London Club @ Planet Hollywood

- sponsored by Steadfast Companies

At this special event, our guests will have a great time learning from gaming professionals about how to play some of Las Vegas’s favorites! Guests will meet in the Paris Hotel lobby at 10:30 a.m. Please be on the lookout for J.W. Cole employees in their red shirts.

12:00 – 1:30 Lunch & Networking with Product Alliance Partners - sponsored by: Sowell Management Services

Vendôme A

JWCOLLEGE 8:00am - 1:30pm Tuesday, November 10th This year’s JWCollege will be led again by one of our industry’s foremost experts in building an Advisor’s Staff Team. Gina Pellegrini had 17 years as a top administrative/marketing assistant when she decided to become a consultant and use her knowledge to help other Advisors and their office teams. In the 23+ years since, she has perfected programs that explain the connections between the actions of an Advisor’s staff and the company’s success. During JWCollege, Gina will be taking all students through 3 very unique courses and everyone will receive their own copies of Gina’s materials and books:

TAKE INITIATIVE & SUCCEED Do you take initiative - or do you wait to be told what to do? Are you trusted and involved in the business - or are you stuck and feeling disconnected? Are you maximizing your skills and capabilities - or are you complacent? If you want more out of work - more involvement, recognition, and financial reward - this course is designed for you!

THE APPOINTMENT SCHEDULER Do you know the 6 most common scheduling mistakes? Do you know how to get past gatekeepers? Overcome objections? Ask for Referrals? And much more… By learning the tools and methods of this course, and role-playing with Gina, marketing assistants can average 5 more appointments per week for their Advisors!

LET GO & LEAD Is your Advisor a leader - or are they sometimes afraid to let go? Do they feel comfortable delegating work and decisions to you and the staff - or do you feel micro-managed? Does your Advisor trust their staff - or hesitate to give them full responsibility? If you are the type of Team Member who wants to give your Advisor the comfort they need to be a better boss, this course is a wonderful way to understand their mind and their fears! Gina will teach this part of the course FIRST to the STAFF TEAM MEMBERS in JWCOLLEGE, and then she will join us on the MAIN STAGE after lunch on Tuesday to share her best methods for Advisors to Let Go & Lead!

Breakout Rooms

Ballyâ&#x20AC;&#x2122;s

Paris Hotel

9:30 - 10:00 TUESDAY MORNING BREAKOUT SESSION #1 An Alternative Approach to Income

1 Palace 1

Traditionally, large institutions and endowments have historically invested across a wide range of asset classes, while individuals have largely relied on traditional investments. Join this breakout as Vince Calvanese discusses the current credit market conditions, investment opportunities created by market volatility, and how Franklin Square is positioned to capitalize on the opportunity on behalf of your clients.

Active Management vs. Passive Management

The age old question: is active or passive management better? Join this breakout session to hear about the benefits of active management, the benefits of passive management, and how combining the two works through a full market cycle.

Palace 2 Save More Time + Serve More Clients

3 Palace 3

Have you seen some of Jackson’s newly developed tools designed to help you save time and better serve your clients? Join this breakout to demo the Portfolio Construction Tool, Portfolio Review Tool, and 1:1 Video Presenter and learn how you can immediately implement these tools into your client engagements.

Maximize Your LinkedIn Prospecting Connections

4 Palace 4

Having a presence on LinkedIn is a good first step to gaining new prospects, however, there are some tricks to enhancing this personal connection. Join this breakout as Sammons uncovers little-known tips to further maximize your profile, along with ways to unleash the power of LinkedIn’s “Advance People Search” tool. The result? Growing your business by connecting with potential clients in a more personal manner.

Opportunities in Energy

5 Palace 5

Whether on the news or around the watercooler, there is a great deal of conversation surrounding the current state of the oil and gas market. Join this breakout presentation as Duncan VanDurme discusses strategies to take advantage of current oil and gas market conditions and how to create tax free income and tax deductions in today’s market.

Modernizing Portfolio Design

6 Palace 6

Modern times demand modern solutions. In over a decade, traditional asset allocation techniques have fallen woefully short when it mattered most. In this breakout session, hosted by Sowell Management Services Chief Investment Officer, David Moenning, they will dissect classic asset allocation techniques and introduce a modern approach to asset allocation, diversification and portfolio design.

The Power of Zero

In this breakout, Midland Life will be sharing results-proven ideas on ways to protect and leverage your client’s assets. Learn how top producers are growing their annual revenue while deepening client relationships and leveraging client assets and protecting their book of business.

Palace 7

10:10 - 10:40 TUESDAY MORNING BREAKOUT SESSION #2 Steadfast Apartment REIT “The Opportunity Continues”

1 Palace 1

Join this breakout as Brett McAvoy discusses the Steadfast Apartment REIT, focused on investing in well-positioned, institutional-quality apartment communities. Learn why Steadfast believes that with strong demand, improving occupancy, and increasing rental rates, the U.S. apartment sector is experiencing unrivaled investment opportunities for investors.

Level the Playing Field, Adding Value by Subtracting Tax

2 Palace 2

Washington has redefined federal income tax and estate tax laws, and clients earning more than $200,000 annually may feel more of a tax bite on their investments this year than last. Join this breakout as Keith Roddy explains the concept of Tax Alpha, which tackles the problem of tax erosion and may boost after-tax returns on investments without taking on extra risk.

Igniting Annuity Confidence

Midland National wants to help you ignite your annuity confidence! Join this breakout as Bryce Biklen, Vice President of Annuity Sales, discusses the Midland National suite of product solutions that has made Midland one of J.W. Cole’s most popular annuity providers for many years.

Palace 3 Climbing the Family Tree – Embracing the Next Generation

4 Palace 4

How well do you know your clients’ families? Many financial professionals lose long-standing relationships because they haven’t taken the time to help clients plan their legacy. This means climbing the family tree of their clients and cultivating relationships with the people most important to them. Join Mike Bieszczad as he shares how to bring value to your clients and build key relationships within their family by using a complete marketing kit from Voya Financial™ .

Revisiting Income Assumptions

5 Palace 5

The new reality is that traditional ways of projecting retirement income has been insufficient. Many assumptions were based upon data that does not represent unique current market conditions and therefore could not be included. Join Brian Engle as he discusses and identifies the challenges and possible solutions that can help you develop more comprehensive all-weather income strategies for your clients.

Specialized Investments for Income and Diversification

6 Palace 6

With the U.S. stock market riding at record highs, your clients looking to preserve recent gains may want to consider diversifying their portfolio with specialized investments — such as HMS Income Fund and Hines Global REIT II — that offer the potential for growth and income. During this breakout, Ryan Holcombe will discuss the market and strategy for these two investment programs available from Hines Securities.

Investing in the Homebuilding Sector

Todd Woodhead, President of Walton Securities, will lead this breakout as he examines the shift that Walton is seeing in the land acquisition space, and how Walton is responding to the current market cycle.

Palace 7

10:50 - 11:20 TUESDAY MORNING BREAKOUT SESSION #3 Why Protect

Join this breakout as Rob Hall helps explain why clients may seek protection in a volatile market, the cost of market volatility, as well as how to position MetLife’s Shield Level Selector with your client to help protect your client’s portfolios in downward market movements.

Palace 1 Perpetual Marketing & Lead Generation

2 Palace 2

Join Dressander’s breakout as they demonstrate how to harness the fastest growing segment in today’s retirement market. Learn how to build your annuity business in less than 90 days by enhancing your brand identity and leveraging a combination of their unique programs including: lead-generation systems, business-building processes, and client-approved point-of-sale tools.

Seeing Beyond the Hype of Fixed Indexed Annuities

3 Palace 3

Advisors have long debated the validity of fixed indexed annuities. As the industry evolves and changes, so do the product solutions available to you and your clients. During this breakout, Tony Peckich and James Lemay will assess these products as solutions for your clients and provide you real world case-study examples. Join this discussion and form your own opinion on the application of these products in your practice.

Stop Playing the Waiting Game! Earn Comp on Client 401k Accounts

4 Palace 4

Every day clients come into your office with a 401k, 403b or 457 looking for advice with no immediate plan to retire. For years your options to this situation were limited. Join this breakout session to hear how The Pacific Financial Group can help you provide guidance on these assets while being compensated. Learn how to grow your business with your existing book of clients.

How to Maximize Adding New Clients and New AUM

5 Palace 5

With more than 61 million people participating in employer-sponsored retirement plans, a majority don’t have the expertise to manage investments within their accounts. Join this breakout as Howard Capital Management showcases the Optimized Advisor designed to help drive clients and retirement assets to you as a trusted Advisor. Learn how to win more clients by scaling your message, using the most state-of-the-art techniques, and strategies.

Effectively Engage in the 401k Market

6 Palace 6

If you are like most Advisors, you don’t focus your attention on the complex ERISA plan space. As our partner provides additional layers of Advisor and plan support, you may find yourself no longer passing by this business. Join American Trust as they deliberate on the benefits of becoming a 401(k) Advisor, the best sources for leads, and the competitive advantages of working with a company like American Trust.

A Whole New Life Insurance: Vitality from John Hancock

7 Palace 7

Have you heard of life insurance that rewards clients for healthy living? At John Hancock, they’re taking an entirely new approach to life insurance. For the first time, your clients can protect the ones they love and be rewarded for living a healthy life. Join this breakout to learn how John Hancock’s Vitality Program can differentiate you in the market, help you grow your business, and offer clients a meaningful and affordable protection solution.

11:30 - 12:00 TUESDAY MORNING BREAKOUT SESSION #4 Shake, Rattle & Roll: Why Advisors Need to be Flexible in a Rising Rate Environment

1 Palace 1

Since 1981, the federal funds rate has gone from a high of 20% to effectively zero, where it sits today, but things are changing. Join this breakout as ACM discusses why interest rates are going up, what asset classes typically get bruised when they do, and what can be some alternative investing options in such an environment.

QLAC -- A New IRA Strategy

2 Palace 2

During this breakout, you will discover why the Treasury Department’s new QLAC rules are changing the IRA game and creating an alternative retirement strategy to reduce taxes, decrease RMDs, and source future income. Bill Stutz will discuss how incorporating Qualified Longevity Annuity Contracts (QLACs) into your offerings can help those clients who need to maximize the income from their IRA and put you ahead of your competition.

Optimize your Client’s Brokerage Experience

3 Palace 3

National Financial continues to lead the industry in providing Advisors the necessary tools and resources to help them customize their client engagements. Join this breakout session to hear about their innovative E-delivery system focused on providing your brokerage clients a streamlined and paperless engagement as well as some of the upcoming (and free) E-Money integrations that will be made available to you through Streetscape in the near future.

Optimize your office with the Black Diamond Wealth Platform

Enhance your client communication with the Black Diamond Wealth Platform. Topics for this breakout will include: client reporting, asset aggregation, 3rd party technology integrations, and Advisor and Client interface.

Palace 4 It’s Time to Think Tactical

5 Palace 5

Given the recent volatility in stock and bond markets, CMG believes that investors need more than traditional asset allocation to diversify portfolios. Join this breakout as Avi Rutstein shares their current market outlook and forward return forecasts, along with specific CMG strategies that have the ability to manage risk in both bull and bear markets.

Reaching the Millennial Market

6 Palace 6

Financial guidance is important at every age. How do you convey that importance to the millennial generation (born between 1981 and 1997) who have just started college or new careers? Join Tyler File for this workshop to learn more about what drives this generation and how to best engage with them. This new view on prospecting is a must for Advisors looking to grow into the future.

Playing the Technology Game

An overview of the Finance Logix Solution that utilizes prospecting tools, our advisor portal, client portal, and mobile applications that track financial fitness.

Palace 7

TUESDAY AFTERNOON GENERAL SESSION 1:30 – 2:20