AP Survey

What do you truly value of any partner in this industry? (Check all that apply)

• Brand recognition

• Business development generation

• Credibility

• Encouragement and moral support

• General marketing support

• Help keep out of trouble

• Mentorship

• Navigation of legal landscape

• New and existing products knowledge

• Partnering to save / help client(s)

• Processing capability

• Solution of moral dilemmas

• Timely resolution of problems

What most closely describes your relationship with Worldsource Financial Management?

• WFM helps to keep me in business, out of trouble, and support business development

• WFM is a valued partner in virtually all facets of my mutual fund business

• WFM Processes client trades and pays out my compensation

• WMF helps to keep me in business and out of trouble

Ranks from the most to the least frequent the means by which you and your branch manager communicate?

On average, how often do you and your branch manager communicate?

• Daily

• Weekly

• Monthly

• Quarterly

• We rarely communicate (aside from the odd quick communication)

What are the ranges of topics you and your branch manager discuss? (Check all that apply)

How many times within the last year has your branch manager visited you at the location where you work such as a sub-branch or home office?

• No visits

• One visit

• Two visits

• Three or more visits

• I work with my branch manager at the same business location on a daily basis

How many times has your branch manager visited in the last three years?

• No visits

• One visit

• Two visits

• Three or more visits

• I work with my branch manager at the same business location on a daily basis

If your Branch Manager visited you per your answers to questions 5 and 6, what was the purpose of the visit(s)? (Check all that apply)

• Relationship management

• Oriented towards OBA business (such as insurance)

• Sales training

• Mutual fund IT / compliance / operations training

• Oversight of mutual fund business practices

In what areas does your branch manager help or support you in your mutual fund business? (Check all that apply)

What would you include of the following as your branch managers strengths? (Check all that apply)