2001 OASIS SENIOR CENTER COMPUTER LAB FOUNDER AWARD
The Senior Center Computer Lab Founder Award was presented by OASIS to Ken Stern & Associates in recognition of a donation that helped establish a computer lab at one of their senior centers. For more information on OASIS, please visit https://www.oasisnet.org/.
2012 – 2017 FIVE STAR WEALTH MANAGER
Five Star Award candidates who satisfied 10 objective eligibility and evaluation criteria that are associated with wealth managers who provide quality services can be named Five Star Wealth Managers.
To be eligible for consideration, Five Star Award Candidates must be credentialed as an investment advisory representative or a registered investment advisor, actively employed as a credentialed professional in the financial services industry for a minimum of five years, have a favorable regulatory and complaint history review, have fulfilled their firm review based on internal firm standards, and be accepting new clients.
If eligible, candidates are evaluated on one-year client retention rate, five-year client retention rate, non-institutional discretionary and/or non-discretionary client assets administered, number of client households served and education and professional designations.
Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or San Diego Magazine. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. Five Star Professional is not an advisory firm, and the content of this article should not be considered financial advice. For more information on the Five Star award and the research/selection methodology, go to www.fivestarprofessional.com.
2010-2012 CHAIRMAN’S CLUB “EXCELLENCE IN FINANCIAL SERVICES”
Awarded to representatives of First Allied Securities, Inc. with annual production over $650,000.
2005-2006 FIRST ALLIED SECURITIES ADVISOR OF THE YEAR AWARD
Awarded to the representative of First Allied Securities, Inc. with the largest increase in brokerage assets during each calendar year.
2008-2012 FIRST ALLIED SECURITIES ADVISOR OF THE YEAR AWARD
Awarded to the representative of First Allied Securities, Inc. with the largest total production in each calendar year.
2004, 2005, 2007, 2008 BLOOMBERG WEALTH MANAGER TOP DOG
Bloomberg Wealth Manager Top Dog is an annual ranking of Registered Investment Advisors who meet
specific criteria. Firms must be a Registered Investment Advisor (“RIA”) with a minimum of $25 million in
assets under management (AUM), offer financial planning services (as reported on form ADV), have more than
50% of client base consisting of “individuals” or “high-net-worth individuals” as defined by the SEC and have
represented on the Wealth Manager questionnaire that comprehensive financial-planning services are
provided in-house or through outsourcing. RIAs meeting these criteria are then ranked by average client
account size. There is no fee to be included. Ranking is not based on client responses.
Such awards are based on a myriad of potential factors and in no way imply that recipient firms are more or less qualified than other firms, on the list or otherwise.
