Investment Finance

INVESTMENT FINANCE

1. Do you work for an institutional financial services firm, brokerage, investment bank, venture capital group or another type of investment finance organization?

2. What are the specific investment finance products and/or services that you and/or the firm sells? Stocks, municipal bonds, government bonds, CDs, mutual funds, 401(k) and retirement plans, options, futures, swaps, spots, forwards, currency hedging, fixed income products, debt and equity products, corporate credit facilities, capital market financings, Treasury bills, trust & estate planning, private banking, or other?

3. What is your geographic market? Local? Regional? National? International?

4. What is the composition of the customer base? Consumers or institutional clients?

5. Are you responsible for sales, marketing, new business development and/or customer relationship management? Have you been able to increase volume, asset value or return on investment (ROI)? Are there any other measurable financial gains?

6. How does your performance rank in the firm? Relative to national industry standards? Have you won any awards?

7. Are you responsible for portfolio management? For whom? How much in assets? Has your portfolio increased? Has ROI increased?

8. Do you have trading responsibility and decision-making authority?

9. What are your “operational” responsibilities at the company?

10. What type of financial analysis and reporting responsibilities do you have? Do you prepare company valuations? Market valuations? Performance indices? Economic forecasts? Please provide a full listing.

11. What are your responsibilities in the area of risk management, assessment and control?

12. Have you ever participated in any mergers, acquisitions, divestitures, joint ventures or partnerships? What was your specific role? Who were the “partners” involved? What was the result? Are there any quantifiable achievements?

13. Do you have IPO experience? What was the company, what was the product and what was the stock offering price? How involved were you in positioning the company for the IPO?

14. Tell me about any major deals that you have structured. For what? Between whom? What was the result? Is it quantifiable?

15. What are your specific PC and technology qualifications? Have you ever been involved in developing and/or introducing any new software, systems or applications?

16. Do you have hiring, training and supervisory responsibility? For how many employees and at what levels? What are their specific job functions?

17. Have you introduced any performance, productivity, quality and/or efficiency enhancement programs? What was the program, who did it impact and what was the result?

18. Have you ever developed and/or implemented new programs to improve customer/account service and retention? What did you do specifically and what were the results?

19. Involved in cost reduction efforts? How did you reduce costs and by what percentage?

20. What NASD registrations have you earned? Any other professional credentials related to your current objectives?