QA3 Financial Corp.

One Valmont Plaza, Fourth Floor

Omaha, NE 68154

(888) 337-4094

Year founded: 1999

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2009-2011 recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless otherwise noted.

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No. of reps producing $500K+ /year
No. of CFPs
No. of full-time employees
No. of fee-based advisers served
Average payout per rep, per year
Avg. annual production of top 20% reps
Cost of E&O insurance per rep, per year
Affiliation fees charged per rep, per year
Affiliation fee coverage
Securities revenues
Securities revenues: Stocks
Securities revenues: Bonds
Securities revenues: ETFs
Securities revenues: Other
Mutual fund revenues
Annuities revenues
Annuities revenues: Fixed
Annuities revenues: Variable
Annuities revenues: Other
Insurance revenue
Insurance revenues: Life
Insurance revenues: Disabilities
Insurance revenues: LTC
Insurance revenues: Other
Alternative revenues
Alternative revenues: Hedge funds
Alternative revenues: Managed futures
Alternative revenues: Private placements
Alternative revenues: REITs
Alternative revenues: Other
Other commission revenues
Other commission revenues
Fee revenues: Rep-managed accounts
Fee revenues: Firm-managed accounts
Fee revenues: Outside-managed accounts
Fee revenues: Other
Fee-based assets: Clearing firm
Fee-based assets: Advisory firm platforms
Fee-based assets: Third-party money managers
Fee-based assets: Other
Offers an RIA platform
Type offered
Total AUM within RIA platform
Retail accounts
Advisory accounts
Other types of accounts
Other types of accounts (specified)

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Recruitment & Staffing

	2009	2008	2007
No. of reps	444	480	492
No. of producing reps	—	—	—
No. of reps producing $100K-$499K /year	147	202	344

Payout Grid

Payout data is available in the current year only.

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Revenue Breakdown

	2009	2008	2007
Total revenues	$49,956,000	—	$73,000,000
Commission revenues	—	—	—
Fee revenues	$13,066,377	—	$13,700,000
Total revenues: Other	—	—	—

Assets Breakdown

	2009	2008	2007
Total account assets	—	—	—
Fee-based assets	$1,460,000,000	—	$2,000,000
Total account assets: Other	—	—	—
Average assets per rep	—	—	—

Other Financials

	2009	2008	2007
Excess net capital	$204,440	—	$139,000
Total Operating expenses	$6,915,091	—	$6,500,000
Pre-tax earnings	—	—	—
Number of active client accounts	—	—	—

RIA platform

CEO	Stephen K. Wild

Technology

Allows advisers to use social media	—

Allows advisers to use social media

—

Notes

N/A = Not available
N/D = Not disclosed
— = Information not available or not disclosed

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