Your Journey To True Independence Begins With Stratos

Recruiting material for Broker/Dealer and investment professional use only. Not for public distribution.

JEFFREY CONCEPCIONPresident/CEO

OurStoryWe opened our first office in February, 2009 with the vision of creating a firm that would bridge the gap between wirehouse, bank and independent financial advisors. Wirehouse and bank advisors typically give up nearly two-thirds of their revenue in exchange for a perceived turnkey strategy, while independent advisors receive higher payouts, but often lack economies of scale and access to resources that will help them grow their business. At Stratos, we’ve assembled a platform that allows advisors to focus on what they do best and leverage our team to assist in all the other areas where we can support their business.

A Collaborative Peer Network One of the keys to our advisors’ success is the peer network we have established. As a partner-owned firm, our advisors take an interest not only in their success, but in that of the firm and their peers. We’ve fostered an environment that encourages sharing and joint work much like that of a professional services firm. Consequently, advisors routinely share best practices, strategies and even clients when the skill sets of another partner can result in an improved outcome for the end client.

Successful PartnershipOur sole focus remains helping our advisors to navigate and succeed in this complex and ever-changing environment. With increasing regulatory pressures, costly technology infrastructure, industry consolidation and the demands of your clients, there has never been a better time to consider partnering with a firm that can help you and your business survive and thrive in the years ahead.

*Stratos Wealth Partners, an SEC Registered Investment Advisor, manages over $7.3 billion in advisory assets, and advises through LPL Financial, over $7 billion in brokerage and third party managed assets for a total of 14.3 billion as of June 30, 2020. Securities offered through LPL Financial, member FINRA/SIPC. Investment advice offered through Stratos Wealth Partners, a registered investment advisor and a separate entity from LPL Financial. All entities are separate and not affiliated with LPL Financial. The rankings are based on data provided by individual advi-sors and their firms. Advisor data is confirmed via regulatory databases, cross-checks with securities firms and conversations with individual advisors. The formula Barron’s uses to rank advisors is proprietary. It has three major components: assets, managed, revenue produced and quality of practice. Investment returns are not a component of the rankings because an advisor’s returns are dictated largely by the risk tolerance of Clients. The quality-of-practice component includes an evaluation of each advisor’s regulatory record.

Assets Under Advisement

$14.3B*

Home Office Staff

60

Independent Advisors

283

Offices Nationwide

87

Founded in 2009 with a vision of creating a partner-owned firm.

48% compounded annual growth rate from 2009 – 2017.

Advisor Growth = Stratos’ Growth#16

Overall Rank

#2 Number of Advisors

#4 Number of

Offices

#4 Number of

States

#7 Number of

Clients

Honestly, I chose Stratos because I was the last one to go and was relying on the judgment of 15 other brokers who went to every single shop to discuss all the payouts and everything they had to offer. At the end of the day, Stratos was the best option for us.

No matter which way you slice and dice it, it costs a lot of money to run an office and you might be somewhere around 10 to 15 percentage points of revenue to run a practice depending on trading volume. What matters is where you NET out at the end of the day. I could have gone direct to LPL and probably be at a 92% or 93% payout based on my production and Branch bonuses; however, for that extra four or five percent that I'm giving up, which is $50,000 on $1,000,000 of production, there is no way I would be able to have concierge-level service for technology and compliance, human resources, marketing, practice acquisition, different platforms, institutional partners at Fidelity and Schwab, like I do through Stratos.

Stratos is absolutely worth it!

Paul SaltaformaggioBaton Rouge, LA

Stratos is absolutely the best option!

Stratos is absolutely the best option!

• Choose your business model and location

• Higher income potential

•Increasedprofitabilitythrougheconomiesofscale

• Recommend the best strategy options to your clients

•Developmoremeaningfulclientrelationships

•Workfreefromthepressuretosellspecificproducts

•BuildequityinyourfutureasanOwner/Partner

•Controlyourowndestiny

Benefits of Independence with Stratos

“From the beginning of my time with Stratos, Jeff Concepcion and his team at the home office have been true partners in my business. Their willingness to help and the sincerity shown, has never waivered. Stratos goes above and beyond in order to try to provide everything that I need for my business and my clients.

The Stratos staff really does make the difference.”

Greg David Lexington, SC

True Partners in my business

• Proventransitionprocessgetsyouandyourclientsupandrunningquickly

•Industry-recognizedleadershiptoguideyoueverystepoftheway

•Comprehensiveresourcesallowyoutofocusongrowingyourpracticeandservingyourclients

•Regionalandnationalmeetingswhereadvisorsbothparticipateandsharebestpractices

•Educationaleventshighlightingindustrybestpracticesfrompeeradvisorsandexperts

•Stratos’NewBusinessOwnerAcademytrainsandassistsyouonrunningyourbusiness

Why Partner with a Thriving Advisor Network

Finance & CommissionsFinance team handles the RIA commission process and assists by helping you navigate the LPL Financial broker/dealer commission process.

Group BenefitsAdvisors and staff are eligible to participate in a true group medical plan as well as ancillary benefits such as disability, life, vision and dental insurance

Marketing ConsultingFirms will use the Stratos Wealth Alliance brand and marketing resources to help further growth and visibility

Real Estate StrategiesTurn-key process for setup and maintenance of new locations

EducationPartner firms participate in our National Meeting, Monthly Best Practice Focus Webinars and Quarterly Partner Calls, all of which provide a forum for idea-sharing and collaboration within our firm

The Stratos Advantage

Advisor Services & Support

Business ConsultingProven track record with practice acquisitions and succession planning 20+ acquisitions we have helped facilitate since 2015

Technology Support24/7 in-house Information Technology support and services

Fundamentum Asset Management Services*As our preferred third-party money manager, Fundamentum offers over 25 portfolio options across Individual Equities, Value/Fundamental, Quantitative, and Passive/ETF strategies

Compliance Services11 Compliance/Ops analysts to support and protect your firm, providing guidance in their respective areas of specialty

Transition SupportTeam of experienced professionals to assist in the entire transition and repapering process

Financial PlanningDedicated resources to create custom financial plans and modular plans for clients

*Fundamentum is a separate and non-affiliated entity from LPL Financial and Stratos Wealth Partners.

Thank You for considering Stratos.

Contact us for more information on how to join Stratos Wealth Partners. We encourage a culture of honest and forthright leadership while providing the necessary tools to grow your business. We’re a proven and growing firm that would encourage you to join the network of investment professionals on the Stratos Wealth Partners’ team.

3750 Park E Dr #200 | Beachwood, OH 44122P: 440-505-5600E: Info@stratoswealthpartners.com W: www.stratoswealthpartners.com

JEFFREY CONCEPCIONPresident/CEO

NANCY ANDREFSKYCFO/COO

LOU CAMACHOPresident

Stratos Wealth Enterprises

CHARLES SHAPIROFounding Partner

Director of National Sales

JENNIFER ISAACSDirector of HR &

Business Services

JAMES LUPICAFounding &

Managing Partner

BOBBIE MEOLA Managing Partner

CHRIS WALLING, CRPC Managing Partner

KAREN AAVIKChief Compliance

Officer

JACOB STEWART Director of IT

Stratos’ Leadership Team

MICHAEL O’BRIEN Managing Partner

MATT DUNNOSJ

DAN JACOBYChief Investment

Officer

KEVIN ELVINGTONDirector of Marketing

ERIC BEAHNDirector of Advisory

Operations

BARBARA DULLDirector of Brokerage

Compliance

JENNIFER PIERONEKDirector of Advisory

Operations

Copyright 2020 Stratos Wealth Partners – All Rights Reserved.

Securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through Stratos Wealth Partners, Ltd., a registered investment advisor and separate entity from LPL Financial.

For Broker/Dealer and Registered Representatives use only. Not intended for use with the public.