529 College Savings Plans - Broadridge Advisor

Private Wealth Management Products & Services | February, 2014

529 College Savings Plans

The 529 Department has deep expertise to provide the Baird Financial Advisors and their clients' comprehensive education saving planning strategies. The 529 team is actively involved in the 529 industry at both the state and federal levels, which keeps Baird FAs ahead of the curve and well positioned for success in the 529 marketplace. We take a proactive approach to support the FA's business and Baird's client needs. The many client approved flyers and tools provide the resources needed to have those all-important education planning discussions. From 529 college savings plans, Coverdell ESAs, UTMA/UGMA spend down strategies to financial aid, the 529 department is ready to assist.

Key Deliverable

Examples of key deliverables are two tools developed by the 529 Team:

? Start your 529 Research Here provides a fast and easy way to research details of the various state 529 plans via the FINRA reviewed 529 Plan Details for all 50 states.

? Open a New 529 Here! has 529 applications, account opening instructions, checklist and more.

Financial Advisor Benefits

? Streamlines 529 offering process; making the 529 Point of Sale Disclosure fast and easy ? Frees you from time consuming due diligence process, enabling them to focus more time on building client

relationships

Client Benefits

? Clients appreciate the thorough due diligence our Baird FAs provide them. ? The easy to read FINRA reviewed Plan Details provide the program summary, potential in-state tax implications,

underlying fees and expenses and the breakpoint schedule. ? Clients can see their 529 assets on their Baird Statement.

529 Tools & Services

The 529 Department has obtained compliance approval for several helpful tools such as: ? The 529 State Tutor, provides comparison of 2 different plans and share classes to illustrate the actual benefit of an in-state tax deduction or credit. ? College cost calculators and What does college cost in name of state? Provide client approved flyers/reports that detail the tuition, fees and total cost of attendance at the schools in a particular state. ? An expansive catalog of customizable client approved marketing materials ? Client facing meetings and conference calls. ? Targeted emails and 529 Updates, periodic email publication keep you abreast of legislative and/or product changes. ? Personal Information Guide helps you and your clients gather all of their personal and financial information in one document; making it easier to locate this critical information in times of need such as death, disability or other family emergency. Furthermore, maintaining this document will decrease the likelihood of unclaimed assets for your heir. Click here and start utilizing this information guide in your next client meeting.

INTERNAL USE ONLY

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Baird Strategic 529 Partners

The following is the current list of 529 Program for which Baird can be Broker Dealer of record as of 3/18/14. If you have 529 accounts for any of these, simply make a BD change to bring those assets to Baird. The Baird Transition Team will help you with this paperwork and networking the accounts via Level 4.

? AllianceBernstein Investments, Inc. ? Allianz Global Investors Distributors LLC ? Allianz Global Investors Distributors LLC ? Allianz Global Investors Distributors LLC ? American Century Investment Services, Inc. ? American Funds Distributors ? BlackRock Investments, LLC ? Calvert Investment Distributors, Inc. ? Columbia Management Investment, Inc. ? Fidelity Investments ? First National Bank of Omaha ? Franklin Templeton Distributors, Inc. ? Hartford Fund Distributors LLC ? Hartford Fund Distributors LLC ? ING (becoming Voya in May, 2014) ? ING (becoming Voya in May, 2014) ? John Hancock Distributors LLC ? J.P. Morgan Distribution Services, Inc. ? Legg Mason, Investor Services, LLC ? MFS Fund Distributors, Inc. ? OppenheimerFunds Distributor, Inc. ? OppenheimerFunds Distributor, Inc. ? OppenheimerFunds Distributor, Inc. ? Putnam Retail Management ? Union Bank & Trust Company ? Union Bank & Trust Company ? Upromise Investments, Inc. ? DWS Investments Distributors, Inc. ? Upromise Investments, Inc. ? Upromise / BlackRock Investments, LLC ? Waddell & Reed, Inc.

CollegeBoundfund (Advisor-sold) MI 529 Advisor Plan Oklahoma Dream 529 Plan College Access 529 (Advisor-sold) Learning Quest Advisor CollegeAmerica Blackrock CollegeAdvantage 529 Plan DC College Savings Program (Advisor-sold) Future Scholar 529 College Savings Plan (Advisor-sold) Fidelity Advisor 529 Plan Nebraska Education Savings Trust (NEST) ? Advisor Franklin Templeton 529 College Savings Plan The Hartford? CHET Advisor The Hartford? SMART529 Tomorrow's Scholar IAdvisor 529 Plan John Hancock Freedom 529 New York's 529 Advisor-Guided College Savings Plan Scholars Choice College Savings Program MFS 529 Savings Plan Bright Start College Savings Plan ? Advisor-sold Plan Scholar's Edge Lonestar 529 Plan Putnam 529 for America CollegeCounts 529 Fund Advisor Plan Bright Directions College Savings Program CollegeChoice Advisor 529 Savings Plan MOST ? Missouri's 529 Advisor Plan College SAVE iShares 529 Plan Ivy Funds InvestEd 529 Plan

Rhode Island Michigan Oklahoma South Dakota Kansas Virginia Ohio District of Columbia South Carolina New Hampshire Nebraska New Jersey Connecticut West Virginia Wisconsin Iowa Alaska New York Colorado Oregon Illinois New Mexico Texas Nevada Alabama Illinois Indiana Missouri North Dakota Arkansas Arizona

Click HERE to see the most recently updated list of 529 plans available on the Baird 529 Platform. Additional information is available on the 529 Department page on BairdWeb / Department Page / 529

If you have questions or need more information, please contact:

Susie Bauer, 529/UIT Manager ? ext. 7076 Jeannette Haen, 529/UIT Product & Services Specialist ? ext. 5267

INTERNAL USE ONLY

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