2016 Symposium Agenda booklet by J.W. Cole Financial

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We want to thank all of our sponsors for helping to bring a great 2016 Symposium experience to our Partner Advisors. Thank you for your support and partnership!

Platinum Product Alliance Partners

Assetmark

Gold Product Alliance Partners • Atlas Energy • Midland National Life • FS Investments • National Financial • Jackson National Life • Steadfast Companies Silver Product Alliance Partners • • • • • • • • •

Inland Securities John Hancock MetLife Midland National Life (annuity) Sammons Retirement Solutions Security Benefit The Pacific Financial Group US Energy Weatherstone Capital Management

• • • • • • • •

Absolute Capital Advisors Capital Management Capital Management Group (CMG) DMI Marketing DressanderBHC Financial Independence Group Griffin Capital Howard Capital Management

• • • • •

Bronze Product Alliance Partners Allianz • Cole Capital American Trust • Flexible Plan Investments Ash Brokerage • Hines Securities Black Diamond by SS&C Advent • Sowell Management Services CNL • Voya

The Marketplace

National Financial T1 Midland National Life T2 Atlas Energy T3 Assetmark T4 FS Investments T5 Steadfast Companies T6 Jackson National Life T7 Midland National Life (annuity) T8 Sammons Retirement Solutions T9 Advisors Capital Management T10 Financial Independence Group T11 Griffin Captial T12 Weatherstone Capital Mgmt. T13 U.S. Energy T14 Metlife T15 Capital Management Group T16

Security Benefit T17 Howard Capital Management T18 DMI Marketing T19 John Hancock T20 Absolute Capital T21 Inland Securities T22 The Pacific Financial Group T23 DressanderBHC T24 Hines Securities T25 Black Diamond / Advent T26 Thrive University T27 American Trust T28 Sowell Management Services T29 Redtail T30 Flexible Plan Investements T31 Finance Logix T32 4

Allianz T33 LaserAp T34 Legacy Stories T35 CNL T36 Albridge Solutions T37 Voya T38 Ash Brokerage T39 Cole Capital T40 FMG Suite T41

Facility Map Hilton New Orleans Riverside Hotel 3rd Floor

= JWCollege = Breakout Sessions/ JWCentric = Marketplace = General Sessions

2016 SYMPOSIUM AGENDA SNAPSHOT 6:00 p.m - 9:00 p.m. 7:00 a.m. - 8:00 a.m. 8:00 a.m. - 9:00 a.m. 9:00 a.m. - 9:45 a.m. 10:00 a.m. - 12:00 p.m. 12:00 p.m. - 1:00 p.m. 1:00 p.m. - 2:00 p.m. 2:00 p.m. - 2:40 p.m. 2:40 p.m.- 3:10 p.m. 3:10 p.m. - 4:10 p.m. 4:10 p.m. - 5:00 p.m. 5:30 p.m. - 7:30 p.m. 5:00 p.m. - 2:00 a.m. 8:00 a.m. - 9:00 a.m. 9:00 a.m. - 9:05 a.m. 9:05 a.m. - 10:10 a.m. 10:10 a.m. - 11:00 a.m. 11:15 a.m. - 12:00 p.m. 12:00 p.m. - 1:00 p.m. 1:00 p.m. - 1:45 p.m. 2:00 p.m. - 2:45 p.m. 3:00 p.m. - 3:45 p.m. 5:30 p.m. - 6:30 p.m. 6:30 p.m. - 10:00 p.m.

7:30 a.m. - 8:30 a.m. 8:30 a.m. - 8:35 a.m. 8:35 a.m. - 10:30 a.m. 10:30 a.m. - 11:00 a.m.

Friday, November 4, 2016

Welcome Party on the Mighty Mississippi Sponsored by: AssetMark

Saturday, Novmber 5, 2016

Mark Twain Courtyard

Breakfast with Product Alliance Partners Sponsored by Midland National Life "Embrace the Shake" "Focus on the Potential...Not the Problem" JWCentric Lunch with Product Alliance Partners Sponsored by FS Investments "Blackrock’s Market Outlook" "Are You Future Ready?" "The eMoney Experience" "The Culturetopia Effect" "Best Practices of Best Practices" Women of Cole Free Night in New Orleans

St. James & Jefferson Ballroom

Breakfast with Product Alliance Partners Sponsored by: National Financial Recap Day 1, Preview Day 2 "Putting Money in The Context of Life" "Running Your Book of Business Like a Business" Breakout #1 - 7 choices + JWCollege Lunch with Product Alliance Partners Sponsored by: Steadfast Companies

St. James & Jefferson Ballroom

Breakout #2 - 7 choices + JWCollege Breakout #3 - 7 choices + JWCollege Breakout #4 - 7 choices + JWCollege Cocktail Reception Sponsored by: Atlas Energy Formal Masquerade Ball – Author / Speaker: Brad Meltzer Sponsored by: J.W. Cole Financial

Breakout Rooms Breakout Rooms Breakout Rooms St. James & Jefferson Ballroom

Sunday, November 6, 2016

Monday, November 7, 2016

Breakfast with Product Alliance Partners Sponsored by: Jackson National Life Recap Day 2, Preview Day 3 Compliance - Protecting Your Business Closing Remarks

St. Charles Ballroom St. Charles Ballroom Breakout Rooms St. James & Jefferson Ballroom St. Charles Ballroom St. Charles Ballroom St. Charles Ballroom St. Charles Ballroom St. Chalrles Ballroom River Room

St. Charles Ballroom St. Charles Ballroom St. Charles Ballroom Breakout Rooms St. James and Charles Ballroom

St. Charles Ballroom

St. James & Jefferson Ballroom St. Charles Ballroom St. Charles Ballroom St. Charles Ballroom

SYMPOSIUM WELCOME PARTY 6:00 p.m. - 9:00 p.m. - Welcome Party on the Mighty Mississippi

Sponsored by: Midland National Life

8:00 a.m. - 9:00 a.m. | "Embrace the Shake"

St. James & Jefferson

St. Charles Ballroom

Phil Hansen, Internationally Recognized Multimedia Artist, Author, and Innovator Success depends on our ability to make "creativity and innovation" a continuous process, and today’s leaders want to know how their teams can rise above any challenge and succeed no matter what comes their way. Whether it’s to embrace change, overcome obstacles, sustain growth, or take success to the next level, they need to “Embrace the Shake”. The term “Embrace the Shake” is coined from Artist Phil Hansen’s personal story of transformation. After developing a career-ending tremor in his drawing hand, Phil embraced his “shake” by redefining his limitation as an impetus for creativity. Phil not only restored his artistic abilities, he became a much more creative and innovative artist than ever before. Upon sharing his message on the TED stage and millions subsequently after, “Embrace the Shake” has become a motto for many businesses to approach their limitations in a new way. 9:00 a.m. - 9:45 a.m. - "Focus on the Potential…Not the Problem" St. Charles Ballroom John Carlson, RJ Wood, Craig Towle 10:00 a.m. - 12:00 p.m. - JWCentric-Open Space Networking – Advisor Business Focus *Room Leaders: Brittany Reagan, Justin Cole, Jason Card, Craig Towle, RJ Wood • 10:00 a.m. Time Slot #1 *Advisors will change rooms after each timeslot • 10:40 a.m. Time Slot #2 *Advisors will change rooms after each timeslot • 11:20 a.m. Time Slot #3 12:00 p.m. - 1:00 p.m. - Lunch with Product Alliance Partners Sponsored by FS Investments

St. James & Jefferson

JWCENTRIC JWCentric is back and better than ever in New Orleans! This year we are putting a twist on the Open Space Technology format by pre-selecting 7 key themes to spark the idea sharing sessions. Our top J.W. Cole Advisors have mastered these 7 areas within their businesses: Teaming and Technology

Marketing & Branding

Build a model team that perfects your office operations and leverages cutting edge technology to dominate your competition.

Create a brand that tells your story and sends the right message, to the right people, at the right time.

Client Experience

Revenue Model

Practice Acquisition

Captivate clients with a financial planning experience that distinguishes you from the competition and increases referability.

Cultivate a revenue model that increases profitability and business value, builds loyalty, and meets the evolving demands of clients.

Kick start the growth of your business by acquiring a practice that is a complementary cultural fit.

Recruiting

Exit Planning

Attract and retain a top talent team of cohesive Advisors designed to meet and exceed your firmâ&#x20AC;&#x2122;s growth goals.

Leave a lasting legacy and maximize future value by focusing on continuation, not just succession.

We will be breaking the sessions up according to the below format. We have intentionally duplicated a number of the sessions in order for you to attend as many of them as possible. As always, if you feel the content does not apply to you, simply “vote with your feet” and move on over to another of the rooms! We can’t wait for your participation at our 2016 JWCentric!

JWCENTRIC SESSIONS

Teaming & Technology

Marketing & Branding

Client Experience

10:00 a.m 10:40 a.m.

10:40 a.m. 11:20 a.m.

11:20 a.m 12:00 p.m.

Canal Room

Jackson Room

Camp Room

Revenue Model

Magazine Room

Practice Acquisition

Magazine Room

Recruiting

Commerce Room

Magazine Room

Commerce Room

Exit Planning

Commerce Room

1:00 p.m. - 2:00 p.m. | "Blackrock’s Market Outlook"

St. Charles Ballroom

Terry A. Simpson, CFA, Director (sponsored by AssetMark) Terry A. Simpson, CFA, Director, is a Multi-Asset Investment Strategist for BlackRock's Global Investment Strategy team, a division of the BlackRock Investment Institute. His responsibilities include conducting and relating the Investment Strategy Team's research and investment views to key institutional and financial advisor clients and offering perspective on all asset classes - including equities, fixed income, foreign exchange and multi-asset strategies for investing

2:00 p.m. - 2:40 p.m. | "Are You Future Ready?"

St. Charles Ballroom

Amanda Smith, SVP, Fidelity Investments (sponsored by National Financial) Amanda Smith is senior vice president of Marketing for Fidelity Clearing & Custody Solutions. Ms. Smith assumed her current position in 2015, and is responsible for developing the strategy and promotion for all broker-dealer and bank segment marketing initiatives. Ms. Smith joined Fidelity in 2007 as a director in the National Financial marketing organization. Ms. Smith received a bachelor of arts in literature from Duke University and an MBA with concentrations in marketing and information technology from the University of Connecticut. She holds her FINRA Series 7 and 24 licenses.

2:40 p.m. – 3:10 p.m. | "The eMoney Experience"

St. Charles Ballroom

Larry Romano, Regional Sales Manager, eMoney Advisor Mr. Romano has spent the last 6 years helping Advisors see the value for themselves and their clients by leveraging technology solutions provided by eMoney. Mr. Romano has been in the financial services industry for 15 years. Prior to eMoney he served as wholesaler at Prudential Annuities and managed the inside sales team at Lincoln Financial Distributors. Mr. Romano resides in the Philadelphia area and is a graduate of St. Joseph’s University. His free time is spent with his wife Cara and young son Nicholas. He also enjoys playing golf and his guitar.

3:10 p.m. - 4:10 p.m. | "The Culturetopia Effect"

St. Charles Ballroom

Jason Young, “Culturetopia – The Ultimate High Performance Workplace” Based on his experience as an insider at famed Southwest Airlines and consultant to dozens of other Fortune 500 companies, Jason Young offers a dramatically different approach to creating and sustaining a high performance workplace. His solution for companies is to create an organizational culture where employees can do their best work and one that will produce the desired performance outcomes in productivity, profitability, employee retention and customer satisfaction. The key is intentionally identifying and developing the essential factors that impact performance for any organization: leadership principles, management practices, team alignment and employee behavior.

4:10 p.m. - 5:00 p.m. | "Best Practices of Best Practices"

St. Charles Ballroom

Dana Marino, Vice President, Director of Practice Management, AssetMark Discover how you can capitalize on best practices and focus your time, talent and resources on business management areas that will dramatically improve your business performance. This session provides a detailed look at what the best practices in our industry are doing to drive top performance. Dana Marino is Vice President and Director of Practice Management, where she oversees AssetMark’s practice management team in its mission to provide quality consulting strategies and resources to advisors and their businesses.

*General Session of Symposium End for the Day* 5:30 p.m. – 7:30 p.m.

Women of Cole

5:00 p.m. – 2:00 a.m.

Free Night in New Orleans

River Room

SUNDAY MORNING GENERAL SESSION 8:00 a.m. – 9:00 a.m.

Breakfast with Product Alliance Partners Sponsored by: National Financial

St. James & Jefferson

9:00 a.m. – 9:05 a.m.

Recap Day 1, Preview Day 2

St. Charles Ballroom

9:05 a.m. - 10:10 a.m. | "Putting Money in The Context of Life"

St. Charles Ballroom

Amy Mullen, Vice President, Money Quotient Amy Mullen is Vice President of Money Quotient. In this role, she frequently presents at conferences on various aspects of conducting a financial life planning process, understanding financial motivation and change, and creating effective client-planner relationships. She focuses much of her time conducting Advisor training on how to take client conversations beyond returns and risk, and into a deeper understanding of the money motivations driving client decisions.

10:10 a.m. - 11:00 a.m. | "Running Your Book of Business Like a Business" St. Charles Ballroom Maureen "Mo" Campanella (sponsored by Inland Securities) Mo Campanella has provided team consulting and training to thousands of Advisors, Agents and Planners in both the domestic and international markets for companies such as Merrill Lynch, LPL, Principal, Smith Barney, Wells Fargo/Wachovia Securities and For over a decade, Maureen has demonstrated an exceptional ability to identify and implement strategic and tactical strategies that will directly impact the growth of a financial Advisor’s business. Maureen began consulting to the financial service sector in 1999 as an internal consultant within Merrill Lynch. Her mission was to teach Advisors how to “Run A Book of Business like a Business”. 11

Breakout Rooms Facility Map

11:15 a.m. - 12:00 p.m. SUNDAY MORNING BREAKOUT SESSION #1 Positioning Your Practice for High Net Worth Investors

Join Tom McCarthy to learn how to pinpoint the High Net Worth (HNW) opportunity and understand the needs of affluent investors. In this session, review practical case studies and specialized AssetMark solutions to help you serve HNW clients.

Fulton Room

Tap Into your Jackson Network

2 Jackson Room

Join this session to learn how to connect to a vast circuitry of Jackson’s best and brightest, sharing information and fresh ideas to bring you comprehensive, up-to-the-minute support. From business-building tools and technology to educational services, Jackson’s Advisor support is designed to help you close difficult cases and stand out from the competition.

Investing in Energy

3 Camp Room

Join this session as Andrew Eisen covers how aligning investor’s objectives with the risks and rewards of investing in energy is crucial in today’s volatile markets. This breakout will provide a history of Atlas, an overview of the energy markets including both the oil and natural gas markets, and what current opportunities are available to investors.

Preparing for Changing Markets

4 Canal Room

Today’s market environment of low growth and yields along with rising volatility and correlations has become the new normal. Join this session as Jared Larson covers the varying factors affecting the U.S. credit markets today and identifies alternative strategies that can help investors pursue their goals despite market challenges.

Client Acquisition Strategies of Top Performers

5 Magazine Room

In this hands-on, interactive session, Mo Campanella shares what “the best of the best” are doing to create effective client acquisition strategies, deliver a concise and relevant value proposition, and gather referrals without having to ask.

Win HNW clients with cost effective portfolio customization

6 Commerce Room

Advisors understand the importance of distributing assets across a variety of financial products to achieve short- and long-term goals. However, no two clients — or financial portfolios — are alike. In this session Dr. Charles Lieberman will compare and contrast investing in mutual funds and separate managed accounts and how properly portfolio customization can enhance your role with clients.

Unique Solutions for Today’s Investing Challenges

7 Royal Room

A history of declining rates, the strong potential for rates to rise, and trillions of dollars waiting for an entry point to gain yield. Is there an opportunity for the conservative investor to invest now? What if they could participate in a rising rate environment instead of being hurt by it? Join Keith Roddy in this session to learn how they can. 13

1:00 p.m. - 1:45 p.m. SUNDAY AFTERNOON BREAKOUT SESSION #2 Housing America’s “GenerationALL”

Steadfast Apartment REIT III seeks to capitalize on America’s “GenerationALL” shift to renting by investing in a diverse portfolio of mid-tier apartments and senior living properties. Join Rick Burdick as he shares Steadfast’s universal practice of pursuing operational excellence and seeking to convert good properties into better ones by initiating Fulton Room strategic, value-enhancement improvements.

Proven Strategy for the Low Interest Rate Environment

2 Jackson Room

How to Navigate a Post-DOL, Low Interest Rate World

3 Camp Room

Chief Investment Officer, Michael Ball examines at how the DOL rule has and will change the landscape for Advisors and the biggest obstacles Advisors face moving forward. Join this session for a brief update on market conditions and why this might be a good time to look at tactical money management for your clients.

Ramp up Your Offense and Build a Better Defense

4 Canal Room

Hear how top producers are growing their annual revenue and protecting their book of business using this simple solution. In this session, Ted Harris will share how Indexed Universal Life insurance can help provide death benefit protection and leverage your client’s assets.

Join this session to be introduced to the second largest FMO in the industry! In this rapidly changing environment, ramp up your offense with DBHC’s marketing programs in order to see more prospects and close more business. Strengthen your defense by leveraging their tools and resources. As an added bonus, hear from Perry Papadopoulos as he provides a scout’s preview of DBHC’s DOL progress.

Understanding Today’s Modern Family You can be doing all the right things for your clients to set them on path to accomplish their goals, but a sudden health issue could put you one step away from all of those assets disappearing. Join this session as Justin Raines highlights practical tips and easy-to-implement Magazine Room strategies to connect with today’s modern family and future generations

The Opportunity in the 2nd Longest Bull Market

Join Brian Osborn in this session as he shares techniques that you can use to address your client’s concerns about the next downturn and how you can take advantage of the biggest opportunity in the retirement plan space: managing PRE-ROLLOVER retirement assets at 401k’s, Commerce Room 403b’s, 457’s.

We know from lessons in behavioral finance that when opportunities are most promising, clients find it hardest to make investment decisions. If we see a real opportunity in energy today, the focus becomes how to approach investing in energy. Join this session as Katie Coffey discusses the most common oil & gas questions and reviews the current opportunities and strategies available to your clients. 14

Examination of Energy Markets: Current Opportunities

Royal Room

2:00 p.m. - 2:45 p.m. SUNDAY AFTERNOON BREAKOUT SESSION #3 When Does 35% = 50%?

1 Fulton Room

With interest rates at an all-time low, extreme volatility in the equity markets, and the DOL changing the landscape it is time to look at new alternatives for your planning process. Join James LeMay as he shares the planning value of fixed indexed annuities and why the newest innovations in these products are gaining the attention of your clients.

Standing out in a Digital Marketplace

2 Jackson Room

Join this session to learn how Advisors can leverage digital tools like social media to help grow their practice. In this breakout, Justin Rafferty will explore what you can do with social media, the tools that are available to you, and how to best leverage content to generate opportunities.

SmartProtect Term with Vitality

3 Camp Room

An easier way to buy and sell life insurance. SmartProtect Term with Vitality offers competitive premiums and a streamlined underwriting. Join Paul Adelson to learn how to simplify the insurance process and help you place more business. Also hear about John Hancock’s new partnership with Apple Watch to help your client's live a healthier life and earn more rewards and discounts!

5 Critical Components for Successful REIT Investing

4 Canal Room

In this session Ambrose Aston will review the recent market cycle events along with the classic and historic mistakes which have negatively affected real estate investments. Join this breakout to take a deep dive into the strategies believed to provide downside protection, reliable income and appreciation potential.

Attract New AUM and Meet the New Fiduciary Standards

5 6

Supercharge your AUM growth by engaging clients on their employer sponsored retirement accounts. Join this session as Kenneth Deane provides tips, techniques, and sales ideas on how you can convert your assets under influence into revenue generating AUM while continuing Magazine Room to meet the new Fiduciary Standards required by the DOL.

Cracking the Code HCM is not just another Money Manager. Join this session to learn multiple methods of how HCM is helping Advisors capture new clients and grow their business through access to Self-Directed Brokerage Accounts and Thrift Savings Plans, turning assets under influence Commerce Room into assets under management. *Attend this breakout to be entered to win a Yeti cooler!

Strategies Use by Top Advisor to Get Appointments

7 Royal Room

What’s your plan to grow your business over the next 12 months and beyond? Join Damon LaTanzi to learn the top marketing strategies the most successful Advisors are using to keep their calendars packed with appointments. 15

3:00 p.m-3:45 p.m. SUNDAY AFTERNOON BREAKOUT SESSION #4 Positioning Your Practice for High Net Worth Investors

Fulton Room

Planning for Health Care Costs in Retirement

2 Jackson Room

MetLife : Shield Level Selector

3 Camp Room

Equities remain a critical component for retirement savings but protection has never been so critical. Join this session as MetLife uncovers innovative strategies to help protect (and grow) your client’s retirement assets and how to position these strategies with existing and new clients.

Preparing for Changing Markets

4 Canal Room

Enhancing Client Dialogue

5 Magazine Room

Nearly three-quarters of affluent pre-retirees say one of their top fears in retirement is their healthcare costs going out of control. Join Bill Stutz to gain a better understanding of health care in retirement and its financial impact and the opportunity to help your clients to plan for these costs.

Join this session as Larry Williams showcases Black Diamond by SS&C Advent's wealth platform and the capabilities for comprehensive Advisor/investor dialogue. Session topics include reporting, total wealth aggregation, meeting tools, and mobile communication.

New from National Financial

As a progressive partner, National Financial is always looking to bring additional value to Advisors. Join this session as a Platform Consultant showcases their new interface designed to help Advisors digitize their businesses. This new platform centers around a new Wealthscape workstation that will serve as a gateway to connect firms to new tools and third-party Commerce Room solutions, including eMoney Advisor’s wealth planning software.

It’s Time To Think Tactical

7 Royal Room

Given the uncertainty in stock and bond markets, CMG believes that investors need to add a tactical approach to truly diversify client portfolios. Join this session as Avi Rutstein shares a current market outlook and the CMG strategies that have the ability to participate in bull markets while protecting in bear markets. 16

JWCOLLEGE SESSION 1 - 11:15 a.m. – 12:00 p.m. "Business Operations" Overview of Business Lines & Required Paperwork Location: Newberry/Ascot Presenters: Cari Archer, Brittany Reagan, Todd Pack

SESSION 2 - 1:00 p.m. – 1:45 p.m. "Streetscape Empowerment" Introduction to National Financial and Using Streetscape to Empower Your Office Location: Newberry/Ascot Presenter: Danielle Kammeyer

SESSION 3 - 2:00 p.m. – 2:45 p.m. "Compliance as an Asset" Compliance Overview, Branch Office Setup & Anti-Money Laundering Red Flags Location: Newberry/Ascot Presenters: Jessica Penovich

SESSION 4 - 3:00 p.m. – 3:45 p.m. "Business Management & Client Marketing Ideas" How You Can Help Move Your Advisor to the Next Level Location: Newberry/Ascot Presenters: Brittany Reagan, Jason Card

SUNDAY GENERAL SESSION 11:15 a.m. - 12:00 p.m. Breakout #1 - 7 choices + JWCollege *view page 13 for details 12:00 p.m. - 1:00 p.m. Lunch with Product Alliance Partners Sponsored by: Steadfast Companies 1:00 p.m. - 1:45 p.m.

St. James & Jefferson

Breakout #2 - 7 choices + JWCollege *view page 14 for details

2:00 p.m. - 2:45 p.m. Breakout #3 - 7 choices + JWCollege *view page 15 for details 3:00 p.m. - 3:45 p.m.

Breakout #4 - 7 choices + JWCollege *view page 16 for details

5:30 p.m. - 6:30 p.m.

Cocktail Reception Sponsored by: Atlas Energy

St. James & Jefferson

AWARDS – Advisor(s) of the Year for B/D, JWCA, & Insurance, Team of Year, & the Jim Bennink Award 6:30 p.m. - 10:30 p.m. | Formal Masquerade Ball