JASON W. COWIE, WMCP®

• Provide ongoing education to clients on various investment products and strategies, empowering them to take control of their finances. Collaboration with internal teams to create customized wealth management solutions for clients. Present investment strategies tailored to each client's unique needs, fostering long-term trust and loyalty. Identify opportunities for cross-selling additional banking products or services based on a deep understanding of each client's individual needs. Monitor economic trends and market developments to provide informed guidance on portfolio adjustments. Conduct regular portfolio reviews with clients to assess performance, discuss any concerns, and make necessary adjustments based on changing financial goals or market conditions.

Summary of Yearly Results in first 4 Years:

2022 (first full calendar year)

FTI: 30

NNM: $7.40MM

2023

FTI: 49

NNM: $22.72MM

NNM Existing Clients: $7.29MM

2024

FTI: 34

NNM: $32.34MM (#1 non-Select Advisor in market; #2 overall)

NNM Existing Clients: $20.83MM (#1 overall)

2025

FTI: 20

NNM: $17.28MM

NNM Existing Clients: $11.37MM

Other Notable Highlights

• Set record for most FTI at State & Delaware branch for one month (6) July 2024.
• Crossed over $100MM in Total AUS in May 2024 in just over 3 years of becoming PCA.
• Surpassed "draw" August 2024 in just under 3.5 years of becoming PCA.

Responsible for managing and cultivating a $100 million book of client household assets, predominantly consisting of high net worth ($250K-$10MM) clientele. Primary objective of establishing and enhancing the Chase Private Client relationship. Lead revenue driver for the bank with a focus on bringing in new money assets for JP Morgan investments, mortgages, as well as both personal and business account balances.

• Top 2020 branch performer (through September) despite temporarily re-locating to a neighboring Chase branch due to COVID-19:
• $10.5MM of net new investment money
• $7.5MM of net new money bank account growth
• $2.2MM of net new home lending (mortgage)
• Top 2019 overall revenue producer in the branch, and recognized as one of the elite Private Client Bankers in the nation, ending up in the running for “National Achiever” status in first full year of production as a Chase Private Client Banker:
• $12MM+ of net new investment money
• $13MM of net new money bank account growth
• $4MM of net new home lending (mortgage) assets
• Consistently ranking among the leaders in the market for the highly emphasized # of First Time Investors (FTIs) with JP Morgan:
• 6 First Time Investor households through September 2020
• 11 First Time Investor households in 2019
• 3 First Time Investor households 2018

• Partner with Owner & Branch Manager of Bloom Associates Inc overseeing all aspects of operations.
• Investments/Accounting/Tax Services provided to clients as overall financial planning.
• Responsible for assisting in managing a $70 million investment book of business.
• Developed personal relationships with existing client base as the business’s eventual succession plan, giving investment advice on client portfolios.

Executive accountability for raising capital in the start-up Independent Broker/Dealer (IBD) channel for the IL, MI, IN territory, making this Highland’s first-ever venture into the IBD channel. Primary focus in 2016 was to raise capital for Highland’s first Business Development Company (BDC), Nexpoint Capital.

• Consistently atop the sales rankings in both new BDC producers and new mutual fund producers each and every month during entire tenure:
• #1 across both sales channels in Q2 2017 for new producers (13) in focus product: Highland Small Cap Equity Mutual Fund, #3 in total Q2 2017 Small Cap producers, and #3 in total Q2 2017 Small Cap sales across both sales channels.
• $1.9MM raised in first year of Highland’s first ever BDC (2016).
• $19MM in total sales including REIT and mutual funds in 2016.
• #1 in total monthly sales across entire IBD channel in May 2016 and December 2016.
• Total products wholesaled: 14 mutual funds, non-traded BDC, 1non-traded REIT, traded REIT, ETF, closed-end fund, and a 1031 exchange.

Executive accountability across 10 Midwestern states for growth of sales revenue via new client acquisition, cultivation of existing accounts, and strategic territory management. Target clientele were in the independent Broker/Dealer channels. Product line consisted of Exchange Traded Fund (ETF) models and target date portfolios accessible both in and outside of 401(k) plans.

• Consistently led wholesaling team in weekly sales activity.
• #1 in meetings, calls, and emails per week and year.
• 445% increase in # of new producing financial advisors and #1 since 2013, going from 11 contracted advisors in 2013 to 60 as of time of departure in November 2015.
• 438% increase in total sales growth (Q1/2014-Q3/2015), which was #1.
• 200% sales growth in first year in 2014.

Executive accountability for entire wholesaling division.

• Maintain relationships with new/emerging managers by raising assets via respective investment vehicles (mutual funds, hedge funds, and private placements) from Broker/Dealers, Registered Investment Advisors, institutions, and family offices.
• Daily job functions included external and internal wholesaling, operations, and national accounts.
• $2.3 MM raised (started at $0) from 24 new advisors in first 11 months for new to market or “limited track record” products and managers previously unseen to the financial community.

Executive accountability across the Midwest for growth of sales revenue via new client acquisitions, cultivation of existing accounts, and strategic territory management in Unit Investment Trusts (UITs ) as well as Exchange Traded Funds (ETFs) and Closed End Funds. 1 direct report; $60K budget.

• At time of departure was most tenured legacy Claymore wholesaler and had the #2 sales territory in 2012 for % to goal (141%) and #4 in total overall sales ($205MM / goal of $145MM), raising $421MM in 3.5 years.
• Increased sales 103% in 2012 over 2011 sales ($101MM in 2011).
• Immediately increased UIT sales by 117% in first six months over the previous 6 after territory transition to cover So. IL, MO, KS, NE on July 1st 2009 (territory was at $12MM through June 2009 and finished at $38MM in 2009).
• Grew territory sales 1,552% in 1st full year of assuming RVP responsibilities ($2.3MM to $38MM) in 2006 and finished 2nd in "Regional Vice President Of The Year 2006" for numerous accolades, including transforming Claymore’s most underperforming territory of So. Ohio, KY (#31 of 31 in 2005) to 7th most profitable territory in 2006 (#7 of 31).
• Earned Claymore Employee of the Month Award March 2006 in 5th month as RVP for raising $8MM in one month.
• Promotion to youngest ever RVP at Claymore Securities (09/2005) at 24 years of age.

Performed strategic CRM activities, pre-screened and interviewed employee candidates and performed new employee orientations as the key revenue drivers for the staffing-oriented branch. 2 direct reports.

• Quickly broke sales records, adding hundreds of thousands of dollars in revenue and demonstrating rare talent for team development, CRM, and business development.
• Maximized revenue from existing high-profile Fortune 500 accounts by uncovering needs and cross-selling solutions.

Member of “in store” team located in Dominick’s grocery stores, performing an array of banking functions, including uncovering customer needs for checking, savings, and loan services; performing maintenance on existing accounts, and responding to queries.

• Secured high-value accounts through consultative selling, effective customer solutions and promoting compelling business opportunities.
• Realized early success as top producer.

Sold optional insurance to corporate clients, opened and closed contracts, generated corporate leads, and cultivated new and existing business.

• Quickly developed sales and customer service skills in a retail setting.
• Led branch in insurance sales, attaining Elite status (July 2003).