One Eleven Group at Smith Barney We help manage your wealth through life’s transitions 111 S. Pfingsten Road, Suite 200  D...
One Eleven Group Mission <ul><li>Our mission is to empower you to  establish order  in your financial life and give you th...
One Eleven Group Members Over 190 years  of combined Industry experience Darren Golde Financial Advisor Clark Gapen Financ...
One Eleven Group Members <ul><li>Darren Golde, CIMA ® ,   Senior Vice President – Wealth Management </li></ul><ul><li>Darr...
One Eleven Group Members <ul><li>Rhonda Salins,  Senior Vice President – Wealth Management </li></ul><ul><li>A graduate of...
One Eleven Group Members <ul><li>Carol Passalaqua, CFP ® , CIMA ® , CRPS ® ,  Vice President – Wealth Management </li></ul...
One Eleven Group Members <ul><li>Julie Eiserman, Group Administrator </li></ul><ul><li>After teaching third grade during h...
Wealth Management <ul><li>Financial Advisor </li></ul><ul><li>Asset allocation </li></ul><ul><li>Investment recommendation...
One Eleven Group Process <ul><li>Discuss current lifestyle, major life transitions and future goals. </li></ul><ul><li>Eva...
Our Commitments To You: <ul><li>Effective Communication </li></ul><ul><li>Complete Objectivity </li></ul><ul><li>Privacy P...
Client Scenario <ul><li>A corporate executive in her mid-fifties retired from her employer of over 20 years. She retired w...
Client Scenario <ul><li>A brother and sister both in their early-sixties are co-owners of a manufacturing business valued ...
Wealth Management Resources <ul><li>Our clients benefit from the specialists of Smith Barney: </li></ul><ul><li>Wealth Pla...
Disclosures <ul><li>Unless you are otherwise advised in writing, Smith Barney is acting as a broker-dealer and not as an i...
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One Eleven Group - Team Presentation

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  • Here is our mission statement: Our goal is to help you put your financial life in order so that you can have the peace of mind knowing that if something happens to you, your family is well taken care of when you are no longer around. Our team is structured in to enable us to replicate: Service Model – Family Office Investment Philosophy – University Foundations/Endowments We tie these two concept together to create a comprehensive approach to Wealth Management.
  • Discuss Team Structure Wealth Planner – Designations, Trust industry experience Investment Policy – Designation, experience Portfolio Manager – Full time job, experience Managing Member – Former Branch Manager Wealth Managers – Experience Client Service – Experience, personal banker Client reporting - Experience
  • Expectations: What people expect when they come to Smith Barney Reality: What they can expect from the One Eleven Group
  • Learn slide as is. This is the focal point of the presentation.
  • Work from slide: Try to give an example of each commitment. Effective Communication – Complete Objectivity – FPA, IMCA Code of ethics, Fiduciary Responsibility due to use of advisory programs, Open Architecture Total Privacy – Innovative Solutions – Smith Barney Platform, On top of industry trends due to IMCA, APIC and FPA Personalized Service – Profiling process, client service associates role, client reporting role
  • Discuss Scenario This is Marcia Thomas – See Darren for more details
  • Discuss Scenario This Bob Lewis and Sandy How – See Bill for more detail
  • Work from slide to discuss the benefit our clients receive by our team having access to these resources.
  • One Eleven Group - Team Presentation

    1. 1. One Eleven Group at Smith Barney We help manage your wealth through life’s transitions 111 S. Pfingsten Road, Suite 200 Deerfield, IL 60015 (847) 480-5416 www.fa.smithbarney.com/111group
    2. 2. One Eleven Group Mission <ul><li>Our mission is to empower you to establish order in your financial life and give you the freedom to pursue your passions . </li></ul><ul><li>Whether you are selling a business, phasing into retirement, changing careers or funding your children’s college education, our tailored strategies are designed to help you manage your wealth through life’s transitions. </li></ul><ul><li>Utilizing a combination of wisdom and experience, our comprehensive team approach will enable you to develop and implement a strategic wealth plan. </li></ul>
    3. 3. One Eleven Group Members Over 190 years of combined Industry experience Darren Golde Financial Advisor Clark Gapen Financial Advisor Anne Gutierrez Client Service Associate Stephanie Smith Client Service Associate Patrick Crowley CG Analyst Traci Pepevnik Client Service Associate Julie Eiserman Client Service Associate Howard Felix Portfolio Manager Carol Passalaqua Financial Advisor YOU & YOUR FAMILY Paul Levitt Financial Advisor Scott Berk Financial Advisor Rhonda Salins Financial Advisor William Johnson Financial Advisor
    4. 4. One Eleven Group Members <ul><li>Darren Golde, CIMA ® , Senior Vice President – Wealth Management </li></ul><ul><li>Darren entered the financial services industry in 1986 after graduating from Indiana University and joined Smith Barney in 1994 . After completing advanced study at the University of Pennsylvania’s Wharton School of Business, he received the Certified Investment Management Analyst designation. </li></ul><ul><li>Darren is an active member of both the Investment Management Consultants Association and Smith Barney’s Association of Professional Investment Consultants. </li></ul><ul><li>In addition to being an avid sports fan, Darren enjoys playing golf and coaching youth baseball. He lives with his wife, Karen, and two children in Northbrook, IL. </li></ul><ul><li>William Johnson, Senior Vice President – Wealth Management </li></ul><ul><li>Bill is a 20 year veteran of the financial services industry and has been with Smith Barney since 1987 . A graduate of Wittenberg University, he began his career as a teacher and coach at Evanston High School during which time he earned his Masters Degree at Northwestern University. Bill also spent 9 years in the steel industry with Worthington Industries prior to joining Smith Barney. </li></ul><ul><li>A resident of Lake Bluff, IL, Bill and his wife Cindy have three children. Bill has stayed involved in education through participation on several committees as well as coaching basketball at both the junior and senior high school levels. </li></ul><ul><li>Paul Levitt, CFP ® , Senior Vice President – Wealth Management </li></ul><ul><li>Paul is a seasoned professional with 22 years of experience in the financial services industry. Paul joined Smith Barney in 1990 after beginning his career as a financial advisor at Dean Witter in 1985. Prior to entering the financial services industry, Paul was a licensed pharmacist. He graduated from the University of Arizona in 1976. </li></ul><ul><li>Paul resides in Buffalo Grove, IL with his two sons. He enjoys golf, tennis and sailing as well as coaching youth baseball and basketball. </li></ul>
    5. 5. One Eleven Group Members <ul><li>Rhonda Salins, Senior Vice President – Wealth Management </li></ul><ul><li>A graduate of the University of Illinois, Rhonda joined Smith Barney in 1979 and was the first woman to complete Smith Barney’s management training program. Prior to joining Smith Barney, Rhonda participated in the prestigious First Scholar Program, an officer’s training program at The First National Bank of Chicago while completing her M.B.A. from Northwestern University’s Kellogg Graduate School of Management. </li></ul><ul><li>Rhonda is active in several charitable organizations, including the Cancer Wellness Center in Northbrook and the U.S. Holocaust Memorial Museum in Washington D.C. She enjoys reading and traveling. Rhonda resides in Highland Park, IL with her husband, Stuart and their 3 children. </li></ul><ul><li>Clark Gapen, First Vice President – Wealth Management </li></ul><ul><li>A graduate of the University of Illinois, Clark joined Smith Barney in 1979 and was the Branch Manager of Smith Barney’s Evanston office from 1984 through 1997. Prior to joining Smith Barney, Clark spent 4 years as a product specialist in the hydraulics industry. During this time he obtained his M.B.A from the Keller Graduate School of Management. </li></ul><ul><li>Clark resides in Winnetka, IL with his wife Marianne and their 3 children. He is a frequent volunteer at his children’s school and is an avid fisherman. </li></ul><ul><li>Howard Felix, Senior Portfolio Management Director </li></ul><ul><li>Howard is a 31 year veteran of the financial services industry and has been with Smith Barney since 1991. Howard began his career as a Financial Advisor at Merrill Lynch in 1983 after working at Metropolitan Life as an insurance agent beginning in 1976 . </li></ul><ul><li>Howard is a voracious reader and coaches youth hockey. He resides in Highland Park, IL with his wife Wendy and son. </li></ul>
    6. 6. One Eleven Group Members <ul><li>Carol Passalaqua, CFP ® , CIMA ® , CRPS ® , Vice President – Wealth Management </li></ul><ul><li>Carol joined Smith Barney in 1995 after becoming a Financial Advisor at Prudential Securities in 1993. She began her career in financial services as a bank trust officer in 1981 and spent the next 12 years in the trust industry. After completing advanced study through the College for Financial Planning and the University of Pennsylvania’s Wharton School of Business, Carol has received the designations of Certified Financial Planner , Chartered Retirement Plans Specialist and Certified Investment Management Analyst . She is a graduate of Southern Illinois University and received her M.B.A. from the Keller Graduate School of Management. </li></ul><ul><li>Carol is an active member of the Lake County Estate Planning Council, the Financial Planning Association and the Investment Management Consultant Association . </li></ul><ul><li>Carol does volunteer work for the College of Lake County Foundation. A resident of Waukegan, IL, Carol loves new sports and extreme adventures such as sky diving, scuba diving and white water rafting. She also expands her personal experiences by traveling to various countries. </li></ul><ul><li>Scott Berk, Second Vice President – Wealth Management </li></ul><ul><li>A graduate of Northern Illinois University, Scott joined Smith Barney in 1996 . He entered the workforce believing he was headed for a career in education working as a teacher’s aide at a junior high school. </li></ul><ul><li>Scott has been an active Red Cross Volunteer since 1990. His interests include travel, photography and golf. Scott resides in Arlington Heights, IL with his wife, Jennifer and their daughter. </li></ul><ul><li>Patrick Crowley, Consulting Group Analyst, Financial Planning Associate </li></ul><ul><li>Pat joined Smith Barney in 2006 after graduating from the University of Iowa with a degree in Finance. During college Pat had summer internships at Smith Barney and a clearing firm at the Chicago Board of Trade. Pat is a Level II Candidate for the CFA Designation. </li></ul><ul><li>In addition to being an avid Chicago sports fan, Pat enjoys playing baseball, softball and golf. He currently resides in Mt. Prospect, IL. </li></ul>
    7. 7. One Eleven Group Members <ul><li>Julie Eiserman, Group Administrator </li></ul><ul><li>After teaching third grade during her first year out of college, Julie decided she might want to pursue a career as an air traffic controller, passing that exam at the age of 22. Fortunately for the One Eleven Group, she joined Smith Barney shortly thereafter. Julie is a graduate of East Carolina University. </li></ul><ul><li>Julie loves to travel and spend time with her family. She resides in Hainesville, IL with husband Charley and their two children. </li></ul><ul><li>Anne Gutierrez, Registered Client Service Associate </li></ul><ul><li>Anne entered the financial services industry in 1995 . She began her career at Mid City National Bank working in the operations area of the back office and joined Smith Barney in 2000 </li></ul><ul><li>Anne enjoys cooking and gardening. She resides in Mundelein, IL with her husband Ron and their twins. </li></ul><ul><li>Traci Pepevnik, Senior Client Service Associate </li></ul><ul><li>Traci entered the financial services industry in 1995 after graduating from Roosevelt University She began her career at Prudential Securities as an administrative assistant and joined Smith Barney in 2001 . </li></ul><ul><li>In addition to being an avid reader, Traci enjoys traveling and spending time with her family. She resides in Arlington Heights, IL with her husband Karl and their two children. </li></ul><ul><li>Stephanie Smith, Client Service Associate </li></ul><ul><li>A graduate of Monmouth College, Stephanie joined Smith Barney in 2006 . Prior to joining Smith Barney, Stephanie was an Assistant Store Director for Osco Drug Stores. </li></ul><ul><li>A resident of Chicago’s South Side, Stephanie is an avid Chicago White Sox fan and was a Division III college softball player. She currently enjoys playing competitive softball and volleyball. </li></ul>
    8. 8. Wealth Management <ul><li>Financial Advisor </li></ul><ul><li>Asset allocation </li></ul><ul><li>Investment recommendations </li></ul><ul><li>Performance reporting </li></ul><ul><li>Financial Advisors of the One Eleven Group at Smith Barney </li></ul><ul><li>Lifetime income planning </li></ul><ul><li>Strategies to diversify wealth tied up in restricted stock or the value of your company </li></ul><ul><li>Ways to help protect your family if something happens to you </li></ul><ul><li>Identifying appropriate investments for your portfolio </li></ul><ul><li>How much you can give to your favorite cause and still leave enough for your children </li></ul><ul><li>Strategies to help you sell your business at an appropriate time for the right price </li></ul><ul><li>How you can divide assets fairly when planning your estate </li></ul>
    9. 9. One Eleven Group Process <ul><li>Discuss current lifestyle, major life transitions and future goals. </li></ul><ul><li>Evaluate current financial resources, liabilities, cash flow needs, insurance needs, wealth transfer desires, charitable intentions, time horizon and risk tolerance. </li></ul><ul><li>Customized action plan with detailed analysis and list of specific recommendations in the following areas: </li></ul><ul><li>Financial Planning </li></ul><ul><li>Retirement Planning </li></ul><ul><li>Insurance Planning </li></ul><ul><li>Wealth Transfer Planning </li></ul><ul><li>Charitable Planning </li></ul><ul><li>Investment Policy </li></ul>To craft and execute an effective strategy you will need to rely on a variety of professionals. We will help coordinate the work of these professionals and guide you through the wealth management process. Understand Personal & Financial Goals 1 Building the Proper Strategy 2 Collaborate With Other Advisors 3 A comprehensive team approach to wealth management that will enable you to develop a strategic wealth plan. Implement the Overall Plan 4 Portfolio Construction 5 Monitoring, Rebalancing & Review 6 <ul><li>Implementing a comprehensive wealth management plan takes time. As you move through the stages of your life you will face a succession of changing priorities. : </li></ul><ul><li>Wealth Accumulation </li></ul><ul><li>Wealth Preservation </li></ul><ul><li>Wealth Utilization </li></ul><ul><li>Wealth Transfer </li></ul>Build a diversified portfolio designed to meet strategic objectives. Optimize the tradeoff between expected risk and return in accordance with investment policy. Identify the appropriate investment vehicles and/or portfolio managers for each asset class. Conduct performance measurement and evaluation of outcomes in relation to stated objectives. Adjust plan strategies and portfolio. Review overall progress toward achieving financial goals.
    10. 10. Our Commitments To You: <ul><li>Effective Communication </li></ul><ul><li>Complete Objectivity </li></ul><ul><li>Privacy Promise </li></ul><ul><li>Innovative Solutions </li></ul><ul><li>Personalized Service </li></ul>
    11. 11. Client Scenario <ul><li>A corporate executive in her mid-fifties retired from her employer of over 20 years. She retired with assets in excess of $5 million most of which was a concentrated position of publicly traded stock. She has a close relationship with several nieces and nephews. </li></ul><ul><li>After analyzing the considerable risk of her concentrated position, her income needs, and wealth transfer and charitable desires, our team developed and executed a diversification strategy that included professional money managers and a variety of other investments. </li></ul><ul><li>In the five years since she became our client, we have collaborated with her CPA and estate planning attorney to implement wealth transfer and charitable strategies to help her establish her legacy. </li></ul>These strategies do not guarantee a profit or protect against loss and may not be suitable for all investors. Each customer’s specific situation, goals and results may differ. Neither the information provided nor any opinion expressed constitutes a solicitation for the purchase or sale of any security. Past performance is no guarantee of future results. Diversification does not guarantee a profit or protect against a loss.
    12. 12. Client Scenario <ul><li>A brother and sister both in their early-sixties are co-owners of a manufacturing business valued at approximately $10 million. They both are married and each has two adult children that are not interested in taking over the business. They are concerned with funding their retirement and are considering selling the company. </li></ul><ul><li>We analyzed their current situation and developed a complete financial plan with the help of Smith Barney’s Wealth Planning Center. Among other things, we recommended that they consult with Citi’s investment bankers to identify possible liquidity solutions that could help fund their retirements. </li></ul><ul><li>During the course of our six year relationship with this family, we have provided investment advice as they settled their father’s estate, helped them manage their personal assets and provided guidance to their wealth transfer plan. </li></ul>These strategies do not guarantee a profit or protect against loss and may not be suitable for all investors. Each customer’s specific situation, goals and results may differ. Neither the information provided nor any opinion expressed constitutes a solicitation for the purchase or sale of any security. Past performance is no guarantee of future results. Diversification does not guarantee a profit or protect against a loss.
    13. 13. Wealth Management Resources <ul><li>Our clients benefit from the specialists of Smith Barney: </li></ul><ul><li>Wealth Planning Centers serve the comprehensive planning needs and objectives of high net worth clients. Regional Wealth Planning Centers are staffed with senior, experienced professionals. In addition, the planning centers work with the One Eleven Group at Smith Barney in forming a team of specialists which may include resources with different areas of expertise, including trust formation and administration and insurance, as well as credit and lending. </li></ul><ul><li>Citi Trust is a corporate trustee with roots dating back to 1822 and has a worldwide staff of almost 450 fiduciary professionals. They provide an extensive offering of fiduciary services, to match the needs of U.S., international and multi-jurisdictional clients. </li></ul><ul><li>Consulting Group has a staff of approximately 230 professionals that provide assistance in development of personalized asset allocation, investment manager evaluation, selection and monitoring. </li></ul><ul><li>Smith Barney’s Executive Financial Services department provides expertise and transaction support for holders of restricted, control and concentrated securities. A specialized group of highly experienced professionals, EFS provides regulatory guidance and assistance for corporate executives, officers, directors and other key employees of publicly traded companies. </li></ul><ul><li>Citi Capital Strategies provides investment banking services dedicated to serving the needs of closely held and family owned businesses. They assist business owners in realizing the rewards of a life’s work. They specialize in providing liquidity solutions to owners of small and mid-sized businesses. </li></ul>
    14. 14. Disclosures <ul><li>Unless you are otherwise advised in writing, Smith Barney is acting as a broker-dealer and not as an investment adviser. </li></ul><ul><li>When used wisely, borrowing can be beneficial to your total wealth management. </li></ul><ul><li>Citigroup Inc., Its affiliates, and its employees are not in the business of providing tax or legal advice. These materials and any tax related statements are not intended or written to be used, and can’t be used or relied upon, by any such taxpayer for the purpose of avoiding tax penalties. Tax-related statements, if any, may have been written in connection with the “promotion or marketing” of the transaction(s) or matter(s) addressed by these materials, to the extent allowed by applicable law. Any such taxpayer should seek advice based on the taxpayer’s particular circumstances from an independent tax advisor </li></ul><ul><li>Citi Trust is the business name for a wide range of personal trust and estate management and related services provided by various Citigroup entities to individuals, families and charitable entities throughout the world. For U.S. clients, trust services are provided by one of the following entities: Citibank, N.A.; Citicorp Trust, N.A.; Citicorp Trust South Dakota; Citigroup Trust - Delaware N.A.; or Citigroup Institutional Trust Company. The service providers are collectively referred to as &quot;Citi Trust&quot; and the entities as the &quot;affiliated trust companies.“ </li></ul><ul><li>©2007 Citigroup Global Markets Inc. Member SIPC. Smith Barney, Citi Capital Strategies and Consulting Group are divisions of Citigroup Global Markets Inc. Smith Barney is a service mark of Citigroup Global Markets Inc. and its affiliates and is used and registered throughout the world. Working Wealth sm is a service mark of Citigroup Global Markets Inc. Citi and Citii with the arc design is a trademark and service mark of Citigroup Inc. or its affiliates and is used and registered throughout the world. </li></ul><ul><li>10/07 </li></ul>

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