Agenda Introduction Social Media Usage in Our Industry What We Hope to Accomplish Questions

Introduction Candy J. Lee, NCM, CLU, CFP – President, CEO, CCO, and Sales Supervisor of fsic, an independent full-service broker-dealer and SEC RIA. – Lead financial planner for Candy J. Lee Financial Planning and Money Management Lena Meyer, Investment Advisor Representative – Relationship Manager for Candy J. Lee Financial Planning and Money Management – Project work for fsic

Introduction Ms. Lee founded Candy J. Lee Financial Planning & Money Management in Two years later she co-founded Financial Services International Corp. “fsic”, member FINRA/SIPC. Lena joined Candy’s practice in December In financial services since 2004.

Overview – Candy J. Lee Financial Planning & Money Management Personalized Financial Planning Services – Wealth Accumulation – College Funding – Retirement Planning – Tax-Sensitive Income Planning – Estate Planning – Investment Management – Retirement Plans for Small Businesses

Overview – Candy J. Lee Financial Planning & Money Management Financial Planning Process – “Bringing Strategic Clarity to Financial Decision Making” – Strategic Perspective: Three decades of diverse industry knowledge and experience. – Strategic Communication: Question-based conversation, trust & understanding. – Strategic Direction: Precise recommendations providing a clear road map for decision making. – Strategic Results: Continuous monitoring of goals and active partnership.

Business Goals – Candy J. Lee Financial Planning & Money Management Service and Growth – Strengthen and retain existing client relationships. – Add new clients to our practice through client & professional referrals. Target Market – “Nice millionaires who need us” – Nice: Clients who value a financial planning relationship, follow through, and are enjoyable to spend time with. – Millionaires: Net worth = $1million, or, they are well on their way to achieving that goal. – Need: Often involves sudden wealth and a transitional time in their lives (retirement, inheritance, new job, etc.)

Overview - fsic Financial Services Int’l Corp Integrity, Trust, Ingenuity, Simplicity fsic is a hybrid – Full service broker-dealer – Fee-based Registered Investment Advisor – General insurance agent, and financial and estate planning firm fsic provides independent financial planners and investment advisors with – Unbiased access to the best services and products available – Support mechanisms and systems that allow reps to customize their products, services, and branding.

Business Goals - fsic Service and Growth – Strengthen and retain existing relationships with reps – Add new reps to our platform. Requirement: 7+ years of experience, client focused, no client complaints, looking for extreme independence. Target Market – Independent Financial Planners – Stock Brokers – Insurance Agents – CPA’s

Social Media Usage in the Financial Industry Limited use of social media in our industry. Financial Advisors are boring. Industry is highly regulated by the SEC and FINRA. Examples: – Testimonials are prohibited. – All correspondence must be monitored and archived. – Most posts and announcements must be pre- approved. Most financial advisors do not even have their own customized website due to compliance complexity.

Social Media Usage in the Financial Industry The good news... – Candy is not boring. – She is our Chief Compliance Officer. CJLee: We currently have or use – Website – Monthly Blog – Monthly Market Letter sent via Constant Contact – LinkedIn – Flickr (for Blog Post) fsic: We currently have or use – Website – LinkedIn

Social Media Usage in the Financial Industry Large Contact Sphere through Community Involvement and Recognition – Three-time recipient of the Five Star Wealth Manager award – Seattle 4 Rotarian – Puget Sound Financial Planning Association – Estate Planning Council of Seattle – Seattle Philanthropic Advisors Network – Seattle Goodwill “Building the Future” Leadership Council – Pacific Northwest Ballet Advisory Board Trustee – Professional Alliance

Can You Help Us? In our highly regulated industry, how can we most effectively utilize the social media platforms available to us?

Can You Help Us? Goals – More effectively leverage the tools and platforms we are currently using. – Learn about other social media platforms we could use. Purpose/Expected Outcomes – Strengthen existing relationships. – Increase client base with CJLee and bring more reps on board with fsic.

Contact Lena Meyer, Relationship Manager Candy J. Lee Financial Planning & Money Management ADDRESS 701 Fifth Avenue Suite 6870 Seattle, WA PHONE | FAX