Who is HD Vest? Financial Services Reinvented - Serving Advisors Who Serve You Since its inception in 1983, HD Vest Investment ServicesSM has supported an independent network of tax and non-tax professionals who provide comprehensive financial services including securities, insurance, money management services, and banking solutions. Ranked as one of the top 20 independent broker- dealer firms1, with 4,600 independent contractors managing over $37 billion in assets for individuals, families and small businesses in all 50 states.2 1Think Advisor 2015 Broker-Dealer Reference Guide, which measured/ranked the top 25 independent broker-dealers by annual revenue.2As of January 1, 2016Independence You can Count On HD Vest Advisors are independent, which allows them to objectively choose the best solutions for individuals based on a wide array of options. But independence isn’t about standing alone. It’s about partnering to harness the resources and support that enable Advisors to take the steps that are right for their clients and their business. That’s why a growing number of Advisors rely on the strength and leadership HD Vest provides to help them serve a broader range of client needs.The HD Vest affiliated companies exclusively provide financial products and services, and do not provide or supervise tax or accounting services. Advisors may provide tax, accounting or other services through their independent outside businesses, but these services are separate and apart from HD Vest.30 Years and Growing Where we’ve been At HD Vest, helping today’s investors obtain the objective financial advice they seek from trusted financial and tax professionals continues to be the heart of what we do - our mission. We are proud to celebrate more than 30 years of helping Advisors and their clients pursue a comprehensive approach to financial well-being.Where we’re going Today, HD Vest supports a growing independent network of financial advisors who are also accounting and tax professionals that provide financial solutions to a broad range of individual and corporate clients through the various subsidiaries of HD Vest. These can include mutual funds, individual securities, insurance, money management services, estate planning, retirement planning, and banking solutions.A Partnership that Benefits You HD Vest focuses on making it easy for Advisors to develop strategies for your unique financial goals and provide you with the information and resources to invest intelligently. Our Advisors are provided access to the unparalleled products, services, technology, and support required to serve your needs.Custodial Services and Account Protection HD Vest has a strategic business alliance with First Clearing, one of the nation’s leading brokerage clearing institutions. First Clearing provides HD Vest with efficient execution services for trading stocks, bonds, mutual funds and other securities on your behalf. In addition, they properly document and clear all transactions, including collection and payment of dividends and interest, the processing of corporate reorganizations, trade confirmations, monthly or quarterly statements, custody of assets, and annual tax-reporting summaries.About First Clearing Headquartered in St. Louis, First Clearing provides quality securities-execution and brokerage-clearance services to more than 100 securities firms throughout the United States. First Clearing is a member of the New York Stock Exchange, NASDAQ, and other major exchanges and is an affiliate of Wells Fargo & Company. As a First Clearing client, you can feel assured knowing there are several ways your brokerage assets are protected. In the event of brokerage firm failure, you will receive SIPC coverage for up to $500,000, limited to $250,000 for claims for cash. First Clearing also has a policy through Lexington Insurance Company, an AIG Company, that provides additional coverage above the SIPC limits for any missing securities and cash in client brokerage accounts to a clearing firm aggregate limit of $1 billion (including up to $1.9 million for cash per client). HD Vest Advisors are independent professionals; they are not employees of HD Vest or First Clearing.