Securities America , Inc.

Securities America is a wholly owned subsidiary of Ameriprise Financial, Inc. We serve more than 1,600 registered representatives and advisors nationwide who serve over 360,000 clients with more than $30 billion in assets under their supervision. We do an average of 33,000 stock, bond and mutual fund transactions each month. National Financial Services LLC (a Fidelity company) and Pershing are our clearing firms, executing our transactions on the various stock exchanges. We use the Quality Improvement Process (QIP) to prevent errors and defects in our work systems. Each work group is trained to use the Quality Improvement tools to eliminate non-conformances in their processes. We developed an internal training program for employees called "SA ( www.securitiesamerica.com )