KENNETH M. CHERRIER,JD, FLMI - Financial Services Institute

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ATTACHMENT V2006 Broker-DealerSurvey of 14 Broker-Dealers
2006Study ofBank Brokerage &Retail Investment ServicesBy American BrokerageCONSULTANTSExecutive SummaryThe first annual Study of Bank & Retail Investment Services has been completedvia a partnership arrangement between American Banker, a SourceMediapublication based in New York City, and American Brokerage Consultants(“ABC”) of St. Petersburg, Florida.ABC received, reviewed, tabulated, and analyzed far-ranging operational dataprovided by over 8% of U.S. banks that offer retail investment services to theircustomers. This information was obtained via mail survey responses receivedfrom 169 banks which offer investment services. American Banker has publishedABC’s analysis of the data in a report titled 2006 Study of Bank Brokerage &Retail Investment Services.The companies evaluated in the survey were as follows:● Investment Professionals● Essex National Securities● Uvest Financial Services● PrimeVest Financial Services● Fintegra Financial Services● PFIC Corporation● Duerr Financial Corporation● Raymond James Financial Services● Invest Financial Corporation● Independent Financial Marketing Group● Infinex Financial Group● Financial Network Investment Corp.● LPL Financial Services● Commonwealth Financial NetworkFintegra ranked 1 st in the area of Compliance Expertise with a grade of A+Fintegra ranked 4 th in the area of Compliance Procedures with a grade of AFintegra ranked 1 st overall in Compliance
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KENNETH M. CHERRIER,JD, FLMI - Financial Services Institute

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