Financial Services International Corp.

701 Fifth Ave.

Seattle, WA 98104

(206) 386-5474

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All 2012-2011 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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No. of reps, male
No. of reps, female
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
Total payout, per year
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
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
Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
Allows an adviser to have his/her own RIA
RIA platform AUM
Retail accounts
Advisory accounts
Other types of accounts
Other types of accounts (specified)

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Recruitment & Staffing

	2012	2011	2010
No. of reps	—	35	30
No. of producing reps	—	31	26
No. of reps producing $100K-$499K /year	—	14	12

Payout Grid

	$0-$249,999	$250K-$499,999	$500K-$749,999	$750K-$999,999	$1,000,000+
Mutual funds	Subscribe	Subscribe	Subscribe	Subscribe	Subscribe
Insurance	Subscribe	Subscribe	Subscribe	Subscribe	Subscribe
Variable annuities	Subscribe	Subscribe	Subscribe	Subscribe	Subscribe
Limited parterships	Subscribe	Subscribe	Subscribe	Subscribe	Subscribe
Securities	Subscribe	Subscribe	Subscribe	Subscribe	Subscribe

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Revenue Breakdown

	2012	2011	2010
Total revenues	—	—	—
Commission revenues	—	—	—
Fee revenues	—	—	—
Total revenues: Other	—	—	—

Assets Breakdown

	2012	2011	2010
Total account assets	—	—	—
Fee-based assets	—	—	—
Total account assets: Other	—	—	—
Average assets per rep	—	—	—

Other Financials

	2012	2011	2010
Excess net capital	—	—	—
Total operating expenses	—	—	—
Pre-tax earnings	—	—	—
Number of active client accounts	—	—	—

Key Executives

CEO	Candy J. Lee

CEO

Candy J. Lee

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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