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R.M Stark Co., Inc.

A Message From Gary L. Stark, President and CEO. At R.M. Stark experience shows that if we serve our independent brokers well, our success will follow. We understand that our assets are our people, capital and reputation. If the last is lost, it is the most difficult to replace. We believe in h

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R.M Stark Co., Inc.

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    1. R.M Stark & Co., Inc. Your First Choice for a Better Future

    2. A Message From Gary L. Stark, President and CEO At R.M. Stark experience shows that if we serve our independent brokers well, our success will follow. We understand that our assets are our people, capital and reputation. If the last is lost, it is the most difficult to replace. We believe in helping you to succeed. In part, we do this by developing strong one-on-one relationships with our financial professionals. We constantly strive to anticipate the rapidly changing needs of our brokers and to develop new services to meet those needs while keeping focused on our core values. In today’s world, it is awfully important to know what is and what is not our business. We offer an independent environment where you run your own business. You decide what is in the best interest of your clients. We give you the tools that with vision and imagination to cultivate success. We take great pride in the professional quality of our work. Though we may be involved in a wide variety and heavy volume of activity, we would, if it came to a choice, rather be best than biggest. We welcome the opportunity to discuss how achieving your goals can be easier with R.M. Stark. Gary L. Stark

    3. About R.M. Stark & Co., Inc. R.M.Stark is an independent broker/dealer with a long history of building relationships. Founded in 1978, the firm has been actively supporting independent brokers since 1996. R.M.Stark is a full-service, securities firm based in Delray Beach, FL with independent branches nationwide. R.M. Stark is affiliated with Stark Financial Advisers, Inc., a registered investment adviser. We understand your client’s interest comes first. Just as you take care of your clients, we take care of you. Each independent broker relationship is unique. Our staff works closely with each associate to assure that the maximum benefit is received from the specialized tools, broad range of products, and technology provided by the firm. In addition, proactive compliance and training programs are designed to assist you in taking you business to the next level.

    4. Clearing through Pershing You can gain distinct advantages by working with RM Stark. Pershing LLC with assets over $940,000,000,000 works behind the scenes to provide comprehensive business solutions for investment professionals. When you associate with RM Stark you have access to everything you need to bring your business to a new level including; The Best Technology, The Best Products and the, Best Practice Management Solutions in the Industry.

    5. Ready for Change Are you looking for the freedom to call your own shots? Retain more revenue? Or simply take the next step in your career? There are many reasons why change may be appealing and just as many issues to consider before you make the move. You need to assess your client relationships, tally the resources you need to replace, and examine your contractual obligations. R.M. Stark along with a team of leading industry specialists are here to help you. Submit your question, we will provide you with the answer. Areas of expertise; Compliance Financing Making the Transition Marketing Starting a Business

    6. Flexible Technology Empower Your Business With Pershing’s Online Brokerage Platform Pershing’s NetExchange Pro was ranked number one by Aite Group in functionality, service, technology, and usability based on over 265 questions, functional demonstrations, and client references.

    7. Award-Winning Statements Account statements are your most frequent client touch point and provide a concrete way to reinforce a high level of service. RM Stark/Pershing statements are one of only four to receive DALBAR’s highest rating of “excellent” – the highest of any clearing firm. We offer; Statement customization, Consolidation for household accounts, E-delivery alternative, Multilingual options (English and Spanish).

    8. Compliance Solutions The financial services industry has been thrust into a regulatory reaction mode since 9/11. From the USA Patriot Act to books and records requirements, financial professionals need compliance support you can count on every step of the way. R.M. Stark’s Compliance team ensures policies and procedures are in place and appropriate for your business. We are constantly monitoring the regulatory environment, examining proposed rule changes and advocating best practices in compliance and risk management. Our review of client material is thorough and fast.

    9. Unlimited Account Asset Protection Your clients automatically receive account protection for the net equity of their securities positions and cash in their accounts. Of that total, the Securities Investor Protection Corporation (SIPC) provides $500,000 of net equity protection including $100,000 for claims for cash awaiting reinvestment (SIPC protection). Working on behalf of your clients’ Pershing provides the additional protection (Excess SIPC). Account protection applies when a SIPC member fails financially and is unable to meet obligations to clients.

    10. Research and Ideas A collection of valuable content from some of the most respected names in investment research is available. Some of the content is offered free of charge while other content requires an additional subscription. Content providers include… DJ Advisor Pro Fund Center Thomson's CDA MarketEdge Second Opinion Credit Suisse BNY Jay Walk The Rankings Service Morningstar S&P Stock Reports Fund Prospectuses SEC Files Annual Reports

    11. Retirement Planning R.M. Stark offers a full line of flexible, investor-focused accounts, featuring a broad range of self-directed investment choices. Your clients can take advantage of products such as IRAs, Roth IRAs, Education and Health Savings Accounts, and 403(b)(&) custodial accounts. You can also tap into a comprehensive range of employer-sponsored plans, such as simplified employee pensions (SEP) plans, savings incentive match plan for employers (SIMPLE plans, and qualified retirement plans, including 401(k), Individual (k), profit-sharing, and money purchase pension plans.

    12. High-quality Trade Executions Pershing has been synonymous with high-quality trade executions for almost 60 years. There is Strength Behind the Numbers; Delivers expertise of senior managers with an average of 25 years of experience, Acts as market maker in over 5,000 equity and preferred securities, Provides non-U.S. dollar execution capabilities on more than 65 exchanges Executes an average of 132,000 trades daily, representing 136 million shares.

    13. Transition Assistance Changing firms is traumatic enough without unnecessary hurdles. R.M. Stark’s transition team is highly experienced and stands ready to provide personalized, step-by-step guidance to make your transition easier. Since we guide you step-by-step, you can remain focused on your most important assets – your clients.

    14. Superior Marketing Support A wide selection of customizable materials are available online or via hard copy at no charge, such as brochures, fact sheets, sales kits, and statement inserts, as well as access to our marketing team to help you find solutions to your marketing challenges.

    15. Wealth Management Solutions R.M. Stock offers financial planning and guidance for complex client situations. Tap into; Alternate Investments, Directed Trust Services, Leverage Illiquid Assets, Exercise Employee Stock Options, Business Succession Planning. Managing wealth can be complicated. R.M. Stark helps you make wealth management easier.

    16. Education Independent Studies and White Papers provide insights into client characteristics, peer business models, transition issues, and more, Guidebooks, Newsletters, On-Demand Presentations, Podcasts, and Webcasts allow for an easy-to-use, interactive way to uncover new ideas.

    17. Events Participate in conferences and events including INSITE, an annual financial products and services conference, and various Professional Seminar Programs

    18. ValueAlliance Through Pershing’s ValueAlliance program you can gain access to a network of vendors who provide a wide range of services to help give your firm a competitive edge. Receive preferred pricing on essential services for you and your clients including; Event Planning, Five-Star Travel and Hospitality, Luxury Lifestyle Services. Leverage your business with Best-of-Breed Resources, Develop strategic marketing plans, Address challenges of attracting and retaining talent, Improve productivity.

    19. We Look forward to talking with you! In the words of Thomas Carlyle, “Our main business is not to see what lies dimly at a distance, but to do what lies clearly at hand.” R.M.Stark & Co., Inc. 701 SE Sixth Avenue Suite 203 Delray Beach, FL 33483 561-243-3815 www.rmstark.com

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