Services Offered

We are a service company - we take your calls and strive to resolve all questions or problems on the first call. Employees are cross-trained to handle multiple tasks and resolve problems quickly. Call us old-fashioned, but we believe the core success of service companies comes from support provided by people. Our back office employees are service professionals trained to support Cantella's investment professionals. We strive every day to provide better service to our representatives so they can do the best job possible for their clients.

Compliance

Many registered representatives consider the compliance department the dreaded sales prevention team. We have heard many stories of the painful process of trying to receive compliance approval for the simplest marketing piece. We promise when it comes to compliance that we will work with you as a partner. Sales and marketing is an integral part of your franchise and we are here to not only help you increase your production, but to do so within established industry rules and regulations. We consider web sites, brochures, print advertising, mailers, sponsorships, and seminars to be valid means of communicating your business to current and potential clients. We will work with you to develop advertising that satisfies regulatory guidelines. We continue to increase our compliance staff to provide you with timely turnaround of your marketing materials. There are various rules and regulations set by the different regulatory authorities such as FINRA, the SEC and the states that must be followed. Our proactive compliance staff is here to help and protect you and your customers.

When you join Cantella, staff members like George Mann become part of your team. George is an attorney with 15 years of experience working for the NASD. He is a former NASD District Director and prior to joining Cantella, he was General Counsel for the Boston Stock Exchange. His experience and advice is here to help guide your business.

Trading

You have the choice of entering your trades online or speaking directly with one of our experienced traders. There is no difference in execution costs to you or your customer.

Bond Trading – technology is making access to bond inventories and knowledge of products easier to navigate and understand. The inventories of hundreds of dealers are available online, as well as portfolios structured for various needs including monthly payment and laddered portfolios. Not sure which bond is right for your customers? Call our bond desk and they will provide you with timely ideas to help you meet your clients' needs, from designing ladders to finding individual positions. The only bonds we recommend are ones we think are right for your customer.

Operations

Helping you function efficiently is our goal - your operations staff is here to help. In the Operations Section of www.cantella.com, you will find every form you need online, as well as detailed instructions to complete tasks such as ACAT forms or establishing checkwriting accounts. The staff is always here to help, as we know it is so much better for you, your client, and for us to do things right the first time. Always call with questions - that is why we are here.

Behind the scenes, our operations and technology departments work very closely to prevent and detect problems before they affect you. Your staff will be automatically alerted when submitted paperwork may be rejected because of an account restriction or coding. Simultaneously, our operations staff will be alerted, so they can work with you to resolve the issue immediately and mitigate any possible delays. Additionally, whenever you log in you will have access to notifications about critical information, such as expiring tender offers, missing documents, and clients who are required to take IRA distributions.

Technology

Our technology staff dedicates their day to finding ways to help you focus on your customers and minimize operational headaches. They operate under the axiom that easy things should be easy and hard things should be made possible. A service-oriented culture of "yes" means that no matter how big—or small—the task, there will be a technology representative ready to help you achieve your goals. Need help picking a new computer? We will help you. Are you interested in scanning and sending paperwork in digitally? We will help you. Do you want help securing your work station? We will help you. Do you need help reparing a mailing for all of your clients? We will help you. Whatever it is you need, you can rest assured that someone will answer your calls, and they will help you.

From a comprehensive document-imaging and storage system that allows you to access documents submitted to the home office, to easily-accessible online form storage, to our backup web-accessible email system, you will be able to access what you need, when you need it, from any place where there is an internet connection. And because our projects are driven by what you need to work smarter, the start to a new solution is just a phone call away.

Transitions

Changing broker/dealers is a difficult task. It is that "fear of the unknown" that often keeps wirehouse representatives from making the leap to doing what they feel deep down is the right thing to do with their careers. Our transition team will help ease the pain. While changing firms will never be easy, our experience has taught us how to do it better and more efficiently. While a move to Cantella may be the first change of broker/dealers in your career, we have helped transition hundreds of representatives and each time gain more knowledge to help keep the transition smooth.

Our experience will help mitigate your fears and avoid frustration. We are here to help you during those first few months as you learn a new system. We are firm believers in doing things right the first time and want you to ask as many questions as necessary to feel comfortable with each aspect of your business. We develop a timeline for implementation and a transition plan designed to meet the needs of your business. We are here to help.

Your transition team will identify and strategize your business in various aspects including:

• Establishing your branch office location
• Transferring securities and insurance licenses
• Transferring client accounts and processing broker/dealer of record changes
• Familiarizing you with compliance standards and procedures
• Printing business cards, letterhead and marketing materials
• Operations training for opening and viewing accounts
• Technology guidance to help you get the most out of systems
• Trading training to help you understand your new system
• Understanding commissions and how and when you are paid
• Public relations strategy including press releases announcing your new branch office
• Contact information to readily find the right answers