WORKING WITH A FINANCIAL ADVISOR

Nothing could be more personal to you than the way you invest. The Financial Advisor you choose should be as attuned to your hopes, dreams, and goals as to your financial information.

He or she needs to be accessible for conversations and reviews, whether they’re annual, semi-annual, or as needed. Your advisor should be experienced and well versed with the types of investments you are interested in pursuing, as well as your investment objectives and risk tolerance.

Before you select a Financial Advisor:

• Seek personal referrals from friends or family members
• Seek professional referrals from your attorney or accountant
• Attend investment seminars held in your community
• Read books or articles about money management and/or investment strategies, or consult free investment brochures
• Assess how the advisor is paid; the variety of products and services offered typically determines whether an advisor is paid through commission, fee, or some combination of the two

Wachovia Securities Financial Advisors

Wachovia Securities has a long and distinguished history of offering quality advice and service. Today the firm employs more than 19,800 associates, of whom 12,500 are advisors. As a firm, we'll work hard to continue to earn your trust each time we serve you. Your advisor not only provides access to a complete selection of industry products and services, he or she can work to collaborate with your accountant, lawyer and other professional advisors as needed to help you attain your long-term objectives.

The Financial Review

We offer a Financial Review process that gives you the opportunity to explain to your Financial Advisor how you want to retire, finance a child's education, maintain your business or simply invest for your future.

Your advisor knows how to ask the questions to help you visualize and obtain your goals. Using this process, you'll receive customized reports addressing the important financial needs of every stage of your life. Designed to be flexible, this report gives you a snapshot of your current and potential future situation. As your goals, risk tolerance and market conditions change, your advisor will be there to help you realize your new plan.

Keeping You Informed

As our client, you receive a monthly or quarterly statement (depending on your account activity) detailing your cash and securities transactions and positions. You also receive Investor's Spectrum, our quarterly newsletter full of informative and timely advice and commentary. You can also access a wide range of investment information online.

How to Find Wachovia Securities Financial Advisors

Wachovia Securities offers full-service brokerage, investment planning, and retirement plan services with 8,100 Financial Advisors and 3,000 Licensed Financial Specialists nationwide.

You can find Financial Advisors through a Wachovia Financial Center, or at any Wachovia Securities office. Either way, we can offer the accounts and services to help you make sound decisions.

Financial Advisors located in Wachovia Securities offices are available at over 650 nationwide locations. Their typical clients have a minimum of $100,000 of investable assets or $150,000 in annual income. Read more on Wachoviasec.com, or locate the office nearest you.

Financial Advisors and Licensed Financial Specialists are also located in Wachovia Financial Centers in 11 East Coast States (CT, NY, NJ, PA, DE, MD, VA, NC, SC, GA, and FL) and Washington, D.C. They work with Retail, Small Business, and Wealth banking specialists to provide solutions to your investment and banking needs. Visit us at Wachovia.com or locate the branch nearest you.

Wachovia Securities is the trade name used by two separate, registered broker-dealers and non-bank affiliates of Wachovia Corporation providing certain retail securities brokerage services: Wachovia Securities, LLC, Member NYSE/SIPC, and Wachovia Securities Financial Network, LLC, Member FINRA /SIPC.

The information provided in this Web site is not intended to be nor should it be construed as tax or legal advice. As with any tax planning matter or strategy, please consult with your attorney and/or tax advisor.

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