1. <Agency Name or Leave Blank>
<Planner Name, Designations>
(Financial Planner) (MFSs may use this title if approved to do so)
<Manager of Financial Services or Leave Blank>
Client Options Menu – How We Can Work Together
Characteristics
Frequency
Cost
Comprehensive in-depth analysis of some or all the following areas:
Relationship Based:
Fee Based:
Financial Planning Based Engagement
Objective, Non-Product Specific Advice
As a Financial Planner
Meet as necessary to help ensure that you understand your financial plan
Agreed upon fee for financial planning service
Annual updates available as needed
Commission and/or fees earned if you decide to purchase products/investments to implement your financial plan (see below)
Net Worth and Cash Flow
Investment Planning & Allocation
Risk Management
Income Tax Planning
Retirement Planning
Estate Planning
Wealth Management
As an Investment Advisory Representative
Asset Allocation and Rebalancing
Innovative Risk Management
Portfolio Enhancement
Tax Planning
Quarterly or Annual reviews relevant to platform chosen and client preference
Quarterly fees based on platform chosen and account size
Needs Analysis
As a Financial Professional
Provide products and high level single needs analysis
Annual review of account performance and contact for issues related to your accounts
Commissions earned on product/investment sales
Neither Prudential nor its sales professionals render tax or legal advice.
Investment advisory services offered through Prudential Financial Planning Services, a division of Pruco Securities, LLC.
©2013 Prudential Financial, Inc. and its related entities, Prudential, the Prudential logo, the Rock symbol and Bring Your Challenges are service marks of Prudential Financial, Inc., and its related entities, registered in many jurisdictions worldwide.
©2013 The Prudential Insurance Company of America 751 Broad Street, Newark, NJ