Five Star Wealth Manager Award: Guide for Award Winners

Five Star Wealth
Manager Award:
Guide for Award
Winners

BACKGROUND INFORMATION ABOUT THE FIVE STAR WEALTH MANAGER
AWARD PROGRAM
The process starts with Five Star Professional creating a list of Financial Advisors (FAs)
whom they want to contact in each specific market area. This list is sent to MSSB’s
Corporate Communications Department, who will have the FAs checked by registration,
compliance, SIU, HR, and if necessary, legal. Once the list is cleared by Corporate
Communications, the research team from Five Star Professional will reach out to the
individual FAs.
If a FA wants to take part in the Five Star program, he/she will complete the Award
Candidate Data Form. This is a required step in order to proceed in the research process.
No specific approval is required for this part of the process. FAs who qualify for the award
will be contacted by Five Star Professional to determine if they are interested in purchasing
ad space, plaques, and/or reprints.
Keep in mind that the Five Star Award only honors an individual FA, not a FA team.
AVAILABLE FIVE STAR MARKETING MATERIALS
FIVE STAR MATERIAL MSSB APPROVAL STATUS REVIEW PROCESS
FA basic listing in magazine Approved by MSSB for FAs to Subject to Branch review
section (initial)
use
FA profile ad in magazine Approved by MSSB for FAs to Subject to Branch, Advertising,
section (initial)
use
and CRG review
Duplication of FA listing/profile Approved by MSSB for FAs to Subject to Branch review as
on Five Star Website
use
long as original submission was
reviewed and approved by the
applicable area within MSSB
Profile article reprints Approved by MSSB for FAs to Subject to Branch review as
use
long as original submission was
reviewed and approved by the
applicable area within MSSB
Profile Reuse License Approved by MSSB for FAs to Subject to Branch review as
use
long as original submission was
reviewed and approved by the
applicable area within MSSB
Electronic Profile Reprint Approved by MSSB for FAs to Subject to Branch review as
use
long as original submission was
reviewed and approved by the
applicable area within MSSB
and award methodology
accompanies the profile
Postcards Not approved by MSSB for FAs
to use
N/A
Wall plaques Approved by MSSB for FAs to
use
Subject to Branch review
Desk awards Not approved by MSSB for FAs
to use
N/A
Five Star Emblem License Not approved by MSSB for FAs
to use
N/A
Participation in ‘second offer’ Not approved by MSSB for FAs N/A
markets
to use
For use with Morgan Stanley Smith Barney LLC and Five Star employees only, not to be distributed
to the General Public. 4/25/12 Page 2

FIVE STAR CATEGORIES
FIVE STAR CATEGORY MSSB APPROVAL STATUS BRANCH VERIFICATION
Business Planning Approved Branch should ensure FA has a
focus in this area
Estate Planning Not approved N/A
Financial Planning Approved Branch should ensure FA has a
focus in this area
Insurance Not approved N/A
Investments Approved Branch should ensure FA has a
focus in this area
Tax and Trust Services Not approved N/A
THE REVIEW PROCESS
BASIC INFORMATION REQUIRED FOR FIVE STAR WEALTH MANAGER AWARD
PROFILE ADS
Morgan Stanley Smith Barney Logo. Use of the logo should follow brand standards and
guidelines for placement.
FA’s name and functional sales title (i.e., Financial Advisor) are required; any officer or
internal titles are optional.
If a FA uses Wealth Advisor (MS Channel) as their functional title, the branch
should ensure the FA has completed the requisite firm program and has approval to
use the title.
A FA may include any of his or her internal or external designations.
Note, as indicated in the CFP Guide to Use of the CFP Certification Marks,
CERTIFIED FINANCIAL PLANNER TM /CFP ® should not be listed as a designation or title,
since it is an actual certification. If a FA wants to use his or her CFP ® certification,
it should be used next to his or her name (i.e., John Smith, CFP ® ).
Note any designations (i.e., CIMA ® , CFP ® , CFA ® ) should appear next to the FA’s
name.
Branch or Complex Address and phone number of FA or team (a MSSB phone number
only).
Note no cell phone number is permitted unless the number is firm monitored.
If the FA is insurance licensed in CA or AR, then the FA should add his or her CA or AR
Insurance License Number to the ad. (i.e., CA/AR Ins. Lic. No. 123456)
The FA or team website may be included, however, no vanity URLs or websites are
permitted unless they are firm approved.
All applicable disclosures are included (in 9 point font)
© [Provide Year] Morgan Stanley Smith Barney LLC, Member SIPC (at the bottom of the ad
in 9 point font). Note this broker dealer disclosure must be on a separate and distinct line. It
cannot be combined with other disclosures.
Most ads will state xx Time Winner (i.e., two year winner or 2X Winner), this means that the
FA has won the award in multiple and/or consecutive years (including the current year).
Although the Communications with the Public Policy does limit the mentioning of
Awards/Rankings to no further back than 3 years unless won in consecutive years,
CRG has obtained an exception from Legal for just Five Star Ads. FAs may include
years that they have won the Five Star Award, even though they may go back
further than 3 years and may not be consecutive.
The use of team or FA taglines and logos is prohibited. Only the MSSB logo may be used.
For use with Morgan Stanley Smith Barney LLC and Five Star employees only, not to be distributed
to the General Public. 4/25/12 Page 3

REQUIREMENTS IFA TEAM IS FEATURED IN THE FIVE STAR PROFILE AD
Since the Five Star Award never honors a team, only an individual FA, the ad must make it
clear who the Five Star Award Recipient is. This should be clearly indicated in the copy
text; highlighting the Five Star recipient in the photo caption does not meet this requirement.
The full team name (i.e., The Smith Group at Morgan Stanley Smith Barney) must be used.
Everyone featured in the ad profile (photo or copy text) must include their functional title.
PHOTO GUIDELINES
PROCESS
Picture should be professional (business attire) and no visual reference to money (including
dollar bills and signs) or alcohol is permitted.
If more than one person is shown in a picture (i.e., team photo), all persons in the photo
need to be identified and their functional titles must be included.
Submitter creates an advertising submission in the CRC. When creating the text portion of
the ad, the FA can use language from his or her pre-approved personalized brochure, bio,
or website.
Ad is reviewed by Branch Manager or Qualified Supervisory Designee
Ad is forwarded by branch to Local Advertising, who will review ad for branding and
advertising issues.
Note, a FA can request editorial support/services from Local Advertising.
Advertising will send the ad to CRG for a regulatory and compliance review. CRG will also
RP24 the ad.
CRG will send the ad back to the Submitter to make any necessary changes.
Submitter must make the required changes and submit the final version to the branch for
final review and approval. Branch must ensure that a final version of the ad is uploaded into
the CRC for branch auditing purposes.
USAGE
When ad or reprint is used, it must be accompanied by the criteria disclosure which is
generally in the beginning of the Five Star section of the magazine. If the FA/team is not
using the magazine’s disclosure criteria, then the firm’s standard Five Star disclosure must
be used instead.
As long as the original ad was approved, any reprints can be reviewed and approved at the
branch level as neither CRG nor Advertising review material after the fact.
This material, once approved, can be put on a FA’s/team’s website, as long as it is
accompanied by the award methodology and criteria.
If a FA is just mentioning that he won this award (in a letter, print ad, brochure, banner ad
on website, etc.), then the FA must indicate in which year the award was earned and the
firm’s Five Star criteria disclosure must also be used.
When doing a banner ad on a FA’s or team’s website, if a copy of the award and
disclosure criteria is posted on the In the Press section, the FA can list the award
and state “Please see our In the Press section for more information and important
disclosures about this award.”
For use with Morgan Stanley Smith Barney LLC and Five Star employees only, not to be distributed
to the General Public. 4/25/12 Page 4

IF YOU HAVE ANY QUESTIONS
CONTACT CONTACT METHOD
MSSB Local
Please send an email to:
Advertising
local.advertising@morganstanley.com
Your MSSB CRG You can find out who your CRG Analyst is and their related contact
Analyst
information by clicking on the link below:
http://mssbintranet.msdwis.com/iwovresources/documents/GWMG%20Admin/Risk/General/whoisyouranalyst.pdf
Five Star Professional Call or email:
Anna Lennick, Wealth Manager Segment Manager
Direct: 651-259-1147
Main: 1-888-438-5782
anna.lennick@fivestarprofessional.com
For use with Morgan Stanley Smith Barney LLC and Five Star employees only, not to be distributed
to the General Public. 4/25/12 Page 5