R.M Stark & Co., Inc.

1
R.M Stark Co., Inc.

• Your First Choice for a Better Future

2
A Message From Gary L. Stark, President and CEO

• At R.M. Stark experience shows that if we serve
  our independent brokers well, our success will
  follow. We understand that our assets are our
  people, capital and reputation. If the last is
  lost, it is the most difficult to replace.
• We believe in helping you to succeed. In part,
  we do this by developing strong one-on-one
  relationships with our financial professionals.
• We constantly strive to anticipate the rapidly
  changing needs of our brokers and to develop new
  services to meet those needs while keeping
  focused on our core values. In todays world, it
  is awfully important to know what is and what is
  not our business.
• We offer an independent environment where you
  run your own business. You decide what is in the
  best interest of your clients. We give you the
  tools that with vision and imagination to
  cultivate success.
• We take great pride in the professional quality
  of our work. Though we may be involved in a wide
  variety and heavy volume of activity, we would,
  if it came to a choice, rather be best than
  biggest.
• We welcome the opportunity to discuss how
  achieving your goals can be easier with R.M.
  Stark.
• Gary L. Stark

3
About R.M. Stark Co., Inc.

• R.M.Stark is an independent broker/dealer with a
  long history of building relationships. Founded
  in 1978, the firm has been actively supporting
  independent brokers since 1996.
• R.M.Stark is a full-service, securities firm
  based in Delray Beach, FL with independent
  branches nationwide. R.M. Stark is affiliated
  with Stark Financial Advisers, Inc., a registered
  investment adviser.
• We understand your clients interest comes
  first. Just as you take care of your clients, we
  take care of you.
• Each independent broker relationship is unique.
  Our staff works closely with each associate to
  assure that the maximum benefit is received from
  the specialized tools, broad range of products,
  and technology provided by the firm.
• In addition, proactive compliance and training
  programs are designed to assist you in taking you
  business to the next level.

4
Clearing through Pershing

• You can gain distinct advantages by working with
  RM Stark. Pershing LLC with assets over
  940,000,000,000 works behind the scenes to
  provide comprehensive business solutions for
  investment professionals.
• When you associate with RM Stark you have access
  to everything you need to bring your business to
  a new level including
• The Best Technology,
• The Best Products and the,
• Best Practice Management Solutions in the
  Industry.

5
Ready for Change

• Are you looking for the freedom to call your own
  shots? Retain more revenue? Or simply take the
  next step in your career? There are many reasons
  why change may be appealing and just as many
  issues to consider before you make the move. You
  need to assess your client relationships, tally
  the resources you need to replace, and examine
  your contractual obligations.
• R.M. Stark along with a team of leading industry
  specialists are here to help you. Submit your
  question, we will provide you with the answer.
  Areas of expertise
• Compliance
• Financing
• Making the Transition
• Marketing
• Starting a Business

6
Flexible Technology

• Empower Your Business With Pershings Online
  Brokerage Platform
• Pershings NetExchange Pro was ranked number one
  by Aite Group in functionality, service,
  technology, and usability based on over 265
  questions, functional demonstrations, and client
  references.

7
Award-Winning Statements

• Account statements are your most frequent client
  touch point and provide a concrete way to
  reinforce a high level of service. RM
  Stark/Pershing statements are one of only four to
  receive DALBARs highest rating of excellent
  the highest of any clearing firm.
• We offer
• Statement customization,
• Consolidation for household accounts,
• E-delivery alternative,
• Multilingual options (English and Spanish).

8
Compliance Solutions

• The financial services industry has been thrust
  into a regulatory reaction mode since 9/11. From
  the USA Patriot Act to books and records
  requirements, financial professionals need
  compliance support you can count on every step of
  the way.
• R.M. Starks Compliance team ensures policies and
  procedures are in place and appropriate for your
  business.
• We are constantly monitoring the regulatory
  environment, examining proposed rule changes and
  advocating best practices in compliance and risk
  management.
• Our review of client material is thorough and
  fast.

9
Unlimited Account Asset Protection

• Your clients automatically receive account
  protection for the net equity of their securities
  positions and cash in their accounts. Of that
  total, the Securities Investor Protection
  Corporation (SIPC) provides 500,000 of net
  equity protection including 100,000 for claims
  for cash awaiting reinvestment (SIPC protection).
  Working on behalf of your clients Pershing
  provides the additional protection (Excess SIPC).
  Account protection applies when a SIPC member
  fails financially and is unable to meet
  obligations to clients.

10
Research and Ideas

• A collection of valuable content from some of the
  most respected names in investment research is
  available. Some of the content is offered free
  of charge while other content requires an
  additional subscription. Content providers
  include
• DJ Advisor Pro Fund Center
• Thomson's CDA MarketEdge
• Second Opinion Credit Suisse
• BNY Jay Walk The Rankings Service
• Morningstar SP Stock Reports
• Fund Prospectuses SEC Files
• Annual Reports

11
Retirement Planning

• R.M. Stark offers a full line of flexible,
  investor-focused accounts, featuring a broad
  range of self-directed investment choices. Your
  clients can take advantage of products such as
  IRAs, Roth IRAs, Education and Health Savings
  Accounts, and 403(b)() custodial accounts. You
  can also tap into a comprehensive range of
  employer-sponsored plans, such as simplified
  employee pensions (SEP) plans, savings incentive
  match plan for employers (SIMPLE plans, and
  qualified retirement plans, including 401(k),
  Individual (k), profit-sharing, and money
  purchase pension plans.

12
High-quality Trade Executions

• Pershing has been synonymous with high-quality
  trade executions for almost 60 years.
• There is Strength Behind the Numbers
• Delivers expertise of senior managers with an
  average of 25 years of experience,
• Acts as market maker in over 5,000 equity and
  preferred securities,
• Provides non-U.S. dollar execution capabilities
  on more than 65 exchanges
• Executes an average of 132,000 trades daily,
  representing 136 million shares.

13
Transition Assistance

• Changing firms is traumatic enough without
  unnecessary hurdles. R.M. Starks transition
  team is highly experienced and stands ready to
  provide personalized, step-by-step guidance to
  make your transition easier.
• Since we guide you step-by-step, you can remain
  focused on your most important assets your
  clients.

14
Superior Marketing Support

• A wide selection of customizable materials are
  available online or via hard copy at no charge,
  such as brochures, fact sheets, sales kits, and
  statement inserts, as well as access to our
  marketing team to help you find solutions to your
  marketing challenges.

15
Wealth Management Solutions

• R.M. Stock offers financial planning and
  guidance for complex client situations. Tap into
• Alternate Investments,
• Directed Trust Services,
• Leverage Illiquid Assets,
• Exercise Employee Stock Options,
• Business Succession Planning.
• Managing wealth can be complicated. R.M. Stark
  helps you make wealth management easier.

16
Education

• Independent Studies and White Papers provide
  insights into client characteristics, peer
  business models, transition issues, and more,
• Guidebooks,
• Newsletters,
• On-Demand Presentations, Podcasts, and Webcasts
  allow for an easy-to-use, interactive way to
  uncover new ideas.

17
Events

• Participate in conferences and events including
  INSITE, an annual financial products and services
  conference, and various Professional Seminar
  Programs

18
ValueAlliance

• Through Pershings ValueAlliance program you can
  gain access to a network of vendors who provide a
  wide range of services to help give your firm a
  competitive edge.
• Receive preferred pricing on essential services
  for you and your clients including
• Event Planning,
• Five-Star Travel and Hospitality,
• Luxury Lifestyle Services.
• Leverage your business with Best-of-Breed
  Resources,
• Develop strategic marketing plans,
• Address challenges of attracting and retaining
  talent,
• Improve productivity.

19
We Look forward to talking with you!

• In the words of Thomas Carlyle, Our main
  business is not to see what lies dimly at a
  distance, but to do what lies clearly at hand.
• R.M.Stark Co., Inc.
• 701 SE Sixth Avenue
• Suite 203
• Delray Beach, FL 33483
• 561-243-3815
• www.rmstark.com