2015 Individual Needs Analysis

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Rafe Randall
5 years ago
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1 This questionnaire collects information from representatives to generate an overall report. This can be used to develop a comprehensive training plan. About Your Business 1. Social Security Number: 2. What is the name of your firm? 3. What is your title? 4. Are you licensed to sell variable insurance products? No 5. How would you describe yourself? Please select one: Sales Assistant Mainly support sales efforts of other producers, you also interact with clients. Financial Consultant Mainly handle retail sale of financial products, offer some planning services. Insurance Agent Mainly responsible for the retail sale of insurance products, such as variable annuities and/or life insurance. Financial Planner Mainly responsible for providing financial planning and the sale of associated products. Investment Advisor Operate a Registered Investment Advisor firm, your practice is limited to fee-based business. Money Manager Manage accounts for producers and you have no personal retail business. Equity Trader - You are an Equity Trader with little to no retail accounts. Bond Trader - You are a Bond Trader with little to no retail accounts. Investment Banker - You are an Investment Banker with little to no retail accounts. Financial Principal - You are a FINOP with little to no retail accounts. Compliance Principal - You are a Compliance Officer with little to no retail accounts. Marketing Principal - You are a Marketing Principal with little to no retail accounts. Supervising Principal - You are have no association with an OSJ but have supervisory responsibilities to registered representatives. Branch (or OSJ) Manager (non-producer) You are a Branch (or OSJ) manager with supervision as your primary responsibility. You have little to no retail accounts. Branch (or OSJ) Manager (producer) - You are a Branch (or OSJ) Manager and also have your own business. Institutional Supervisor - You are mainly responsible for supervising all activities related to institutional trading, institutional sales, investment banking, or syndication. Wholesaler - You are a registered product wholesaler with little to no retail accounts. You are primarily responsible for representing the issuer. Home Office/Administrative Staff You work in the home office or in a branch in an administrative role with little to no clients. You interact mostly with clients of the firm and representatives. 6. In the last 12 months, have you been the subject of any disciplinary actions by the SEC, and SRO, or any state regulatory body? No [Skip to Q10] 7. If yes, please provide details about the allegation. 8. In the last 12 months, have you been involved in any consumer-initiated arbitration? No [Skip to Q12] 9. If yes, please provide details about the allegation. 10. In the last 12 months, have you been involved in any consumer-initiated verbal or written complaint? No [Skip to 14] 11. If yes, please provide details about the allegation. Page 1 of 9

2 12. Are you subject to heightened supervision? No [Skip to Q16] 13. If yes, please provide details pertaining to your heightened supervision. Registration/Professional Designation Information 14. Please indicate which registrations you hold: Series 3 Series 4 Series 5 Series 6 Series 7 Series 8 Series 9 Series 10 Series 11 Series 12 Series 14 Series 15 Series 16 Series 17 Series 22 Series 24 Series 26 Series 27 Series 28 Series 30 Series 31 Series 32 Series 33 Series 37 Series 39 Series 42 Series 51 Series 52 Series 53 Series 55 Series 62 Series 63 Series 65 Series 66 Series 71 Series 72 Series 79 Series 82 Series 86 Series 87 Series Please indicate which professional designations you hold: CFP CPA CFA CLU ChFC CRPC CRP RP CTFA CIMA CIMC CPWA Page 2 of 9

3 N/A Other (please specify below) 16. Do you intend to take any continuing education courses this year required by the board of your professional designation? No [Skip to Q20] 17. If yes, please identify the courses you intend to take. Product Information 18. Please select the percentage of your compensation received as a result of Government Bonds: 19. Please select the percentage of your compensation received as a result of Government Agency Bonds: 20. Please select the percentage of your compensation received as a result of Short-term Instruments/Money Markets: 21. Please select the percentage of your compensation received as a result of Asset-Backed Securities: 22. Please select the percentage of your compensation received as a result of Municipal Bonds: 23. Please select the percentage of your compensation received as a result of Limited Partnerships: 24. Please select the percentage of your compensation received as a result of Private Placements: Page 3 of 9

4 25. Please select the percentage of your compensation received as a result of Structured Products/Structured Notes: 26. Please select the percentage of your compensation received as a result of Hedge Funds (all types): 27. Please select the percentage of your compensation received as a result of Wrap Accounts: 28. Please select the percentage of your compensation received as a result of REITs: 29. Please select the percentage of your compensation received as a result of Unit Investment Trusts: 30. Please select the percentage of your compensation received as a result of Variable Annuities: 31. Please select the percentage of your compensation received as a result of Variable Life Insurance: 32. Please select the percentage of your compensation received as a result of Fixed Insurance: 33. Please select the percentage of your compensation received as a result of Security Futures: Page 4 of 9

5 34. Please select the percentage of your compensation received as a result of 529 Plans: 35. Please select the percentage of your compensation received as a result of Asset-Backed Bonds: 36. Please select the percentage of your compensation received as a result of CMOs: 37. Please select the percentage of your compensation received as a result of Penny Stocks: 38. Please select the percentage of your compensation received as a result of Equity Indexed Annuities: 39. Please select the percentage of your compensation received as a result of Brokered CDs: 40. Please select the percentage of your compensation received as a result of Mutual Funds (A Shares): 41. Please select the percentage of your compensation received as a result of Mutual Funds (B Shares): 42. Please select the percentage of your compensation received as a result of Mutual Funds (C Shares): Page 5 of 9

6 43. Please select the percentage of your compensation received as a result of Individual Equities: 44. Please select the percentage of your compensation received as a result of Corporate Bonds: 45. Please select the percentage of your compensation received as a result of Futures: 46. Please select the percentage of your compensation received as a result of Commodities: 47. Please select the percentage of your compensation received as a result of Options (Index/Equity/OTC): Service Information 48. If applicable, please select what percentage of your compensation is received from Investment Advisory Services: 49. If applicable, please select what percentage of your compensation is received from Investment Banking: 50. If applicable, please select what percentage of your compensation is received from Syndication: 51. If applicable, please select what percentage of your compensation is received from Origination: Page 6 of 9

7 52. If applicable, please select what percentage of your compensation is received from Market-making and/or Proprietary Trading: 53. If applicable, please select what percentage of your compensation is received from Money Management: 54. If applicable, please select what percentage of your compensation is received from Financial Planning: 55. If applicable, please select what percentage of your compensation is received from Research: 56. If applicable, please select what percentage of your compensation is received from Institutional Fixed Income Sales: 57. If applicable, please select what percentage of your compensation is received from Institutional Equity Sales: 58. If applicable, please select what percentage of your compensation is received from Asset Securitization: 59. If applicable, please select what percentage of your compensation is received from Prime Brokerage: 60. If applicable, please select what percentage of your compensation is received from Estate Planning: Page 7 of 9

8 61. If applicable, please select what percentage of your compensation is received from College Planning: 62. If applicable, please select what percentage of your compensation is received from Supervision: 63. If applicable, please select what percentage of your compensation is received from Insurance Planning: 64. If applicable, please select what percentage of your compensation is received from Retirement Plans: Course Topics 65. Indicate if you would like to fulfill your 2014 Firm Element requirements by taking courses on any of the following topics: 401(k) 529 Plans Alternative Investments Annuities Anti-Money Laundering Asset-Backed Securities Auction Rate Securities Blue Chip Equities Bonds Business Conduct Certificates of Deposit (CDs) Collateralized Mortgage Options (CMOs) Commodities Communications with Customers and the Public Complaint Handling Convertible Securities Corporate Bonds Derivatives Disclosure Equity Options ETFs Ethics Fixed Income Futures Government Bonds Growth Equities Handling Customer Accounts Hedge Fund Hybrid Securities Insider Trading Insurance Products Page 8 of 9

9 Insurance Regulations Investment Banking IRA Managed Funds Margin Accounts Market Risk Factors Money Markets Municipal Securities Mutual Funds (all types) Options Over-The-Counter (OTC) Equities Penny Stocks Principal Protected Notes (PPNs) Private Placements Real Estate (REITs) Registration and Reporting Issues Reverse Convertible Securities Sales Practices Securities Regulations Short-term Instruments Stocks Suitability Syndication U.S. Government Securities Unit Investment Trusts (UITs) Variable Life Insurance Wrap Accounts N/A Other (please specify below) Ethics 66. It has been advised that ethical issues be addressed in the Firm Element training program. The Firm s Needs Analysis should identify ethical problems that employees fact, as well as pressure that keeps them from acting appropriately or reporting ethical concerns. This may include a relationship with another employee, a relationship with a customer, conflicts of interest, and properly representing the firm s interests. Please select ethical issues you believe should be addressed in your training: Conflicts of interest in regard to personal trading Conflicts of interest in regard to outside business activities Conflicts of interest in regard to gifts, gratuities, or entertainment Conflicts of interest in regard to political contributions Relationships with coworkers in regard to harassment Relationships with coworkers in regard to discrimination Relationships with customers in regard to putting the customer s needs first Relationships with customers in regard to improper customer requests Relationships with customer in regard to loans to and/or from customers Relationship with the firm in regard to use of firm property Relationship with the firm in regard to maintaining accurate records Relationship with the firm in regard to responding to regulators Other (please specify below): Testament to Accuracy and Full Disclosure 67. I certify that to the best of my knowledge the statements and facts presented to be accurate and true. First Name: Last Name: Date: Page 9 of 9

Needs Analysis Survey. Sample

Needs Analysis Survey. Sample Needs Analysis Survey Our Needs Analysis Surveys serve as a diagnostic tool for determining what training needs to take place at your firm. These individual assessments look at each of your employees job