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

3. 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

4. Introduction Ms. Lee founded Candy J. Lee Financial Planning & Money Management in 1992. Two years later she co-founded Financial Services International Corp. “fsic”, member FINRA/SIPC. Lena joined Candy’s practice in December 2012. In financial services since 2004.

5. 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

6. 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.

7. 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.)

8. 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.

9. 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

10. 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.

11. 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

12. 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

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

14. 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.

15. Contact Lena Meyer, Relationship Manager Candy J. Lee Financial Planning & Money Management ADDRESS 701 Fifth Avenue Suite 6870 Seattle, WA 98104 PHONE 206.384.4949 | FAX 206.374.3027 EMAIL lena@candyjlee.com lena@candyjlee.com