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FIIS F oundations. February 7, 2005. Overview of FIIS FIIS Departments Smithfield Highlights FIISnet Q & A. Agenda. Fidelity Investments Institutional Services Company, Inc. (FIIS) We distribute Fidelity products, programs and services through a variety of financial institutions

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Fiis f oundations

FIIS Foundations

February 7, 2005


Agenda

Overview of FIIS

FIIS Departments

Smithfield Highlights

FIISnet

Q & A

Agenda


Who we are

Fidelity Investments Institutional Services

Company, Inc. (FIIS)

We distribute Fidelity products, programs and services through a variety of financial institutions

Banks

Insurance Companies

Broker/Dealers

Financial Planners

Pension Fund Administrators

Who we are


Fiis stats

FIIS Stats

*Headcount and financial data as of 9/30/04


Where do we fit

Fidelity’s products, programs, and services are

sold three ways:

Directly to the public

Through company sponsored retirement plans

Through intermediaries

Where do we fit?


Fiis f oundations

FIIS 2005 Core Strategies

  • Grow number of advisors

  • Diversify asset base

  • Further pursue bank market and protect our position in Insurance

  • Protect and expand IMM

  • Improve quality of the customer experience

  • Better position FIIS in the marketplace


Fiis f oundations

Fidelity Advisor Funds

Fidelity Advisor World Funds

Fidelity Destiny Plans

Fidelity Institutional Money Market Funds

Sub-Advised Portfolios

Fidelity Variable Insurance Products (VIP) Portfolios

What do we sell?ProductsFIIS offers a wide range of investment products specifically for investment professionals.


What do we sell programs

FIIS strives to develop programs that will help firms and investment professionals grow their business.

Fidelity Advisor Charitable Gift Fund (ACGF)

Fidelity Advisor 529 Plan

Retirement Income Services

What do we sell?Programs


Fiis f oundations

Fidelity Advisor 403(b) Plan

Fidelity’s Advisor-delivered 401(k) serves companies with 10-1,500 participants with more than 100 investment options across all styles, and includes:

Premium Service Program

Premium 100 Service Program

Fidelity Advisor Traditional, Roth, and Rollover IRAs

Fidelity Advisor SEP and Simple IRAs

What do we sell?Retirement


Fiis f oundations

Institutional Model

Advisor Model

Fidelity Product

Fidelity Product

Client Home Office

Client Home Office

Client Salesforce

FIIS Salesforce

Investment Professional

Investment Professional

Investor

FIIS Sales Strategy


Fiis f oundations

FIIS Organization

Joe LoRusso

President

Bill Loehning

Institutional

Distribution Group

John Lunter

Chief Financial

Officer

Marty Willis

Marketing & Product

Management

Bob Dwight

Client Services

Rick Federico

Chief Information

Officer

Don Holborn

Advisor

Distribution Group

Nancy Whitney

Human Resources


Institutional distribution group idg

Institutional Distribution Group (IDG)

  • Bill Loehning,Executive Vice President

Responsible for providing sales and relationship management support to institutional clients and prospects. Fidelity products, programs and services are distributed through the client firm’s sales force to investment professionals.


Institutional distribution group idg1

Institutional Channel Management

Inside Sales Division

Insurance Business Unit

Bank Business Unit

Cash Business Unit

Destiny Business Unit

Institutional Distribution Group (IDG)


Advisor distribution group adg

Advisor Distribution Group (ADG)

  • Don Holborn, Executive Vice President

Responsible for providing sales and relationship management support to advisor broker/dealer clients and prospects. Fidelity products, programs and services are distributed through FIIS' sales force to investment professionals.


Advisor distribution group adg1

Eastern and Western Regional Sales

Offshore

Retirement

Relationship Management

Sales Development

Inside Sales

Advisor Distribution Group (ADG)


Marketing

Marketing

  • Marty Willis, Executive Vice President

Responsible for providing marketing strategy and support to IDG, ADG and Retirement channels. Create and distribute marketing collateral designed to help meet our sales goals.


Marketing1

Advisor Marketing

Investment Consulting Services (ICS)

Investment Product Management & Development

Marketing Communications (Marcom)

Program Management

Strategic Marketing

Marketing


Client services

Client Services

  • Bob Dwight, Senior Vice President

Supports the FIIS business by providing transaction processing and record-keeping for the transfer agent, Fidelity Investments Institutional Operations Company, Inc. (FIIOC), as well as intermediary support and relationship management for FIIS clients.


Client services1

Client Services consists of four business units:

Advisor and Institutional Call Services

Business Development

Operations Services

Transaction Processing

Client Services


Technology

Technology

  • Rick Federico, Executive Vice President and Chief Information Officer

Technology’s mission is to deliver timely solutions to our business partners through the innovative application and development of cost-effective technologies.


Technology1

Architecture and Planning

Customer Relationship Management Technologies

Products and Processing

Sales and Service Technologies

Shared Services

Technology


Finance and risk management

Finance and Risk Management

  • John Lunter, Senior Vice President and Chief Financial Officer

Finance has oversight responsibility for all financial functions within FIIS.

Risk Management provides an integrated framework of risk management practices, standards, controls and support services in order to advance FIIS' business objectives.


Finance

Shared Financial Services

Distribution Business Support

Business Planning & Analysis and Marketing Business Support

Client Services and Technology Business Support

Finance


Risk management

Risk Management

  • Compliance Oversight Team (COT)

  • Marketing Review

  • Transfer Agent (TA)

  • Contract Management

  • Business Contingency Planning


Human resources

Human Resources

  • Nancy Whitney, Senior Vice President

The Management Effectiveness team

works with FIIS managers to:

  • Help develop leadership capabilities

  • Handle workforce issues

  • Help develop teams through managing talent and succession planning


Human resources functions

Benefits/Payroll (NetBenefits)

HR Solutions

Management Effectiveness

Core Human Resources

HR Solutions 1-800-835-5099

Human Resources Functions


In case you haven t heard

Outstanding Achievement and Outstanding Leader Awards

FIIS Today

Smithfield Site

Sebastian’s

FitCorp-Liz Cecere

Volunteer Opportunities-Robin Smith

Les Concierges-Martha Cox

In Case You Haven’t Heard


Fiis f oundations

FIISNet Demonstration

http://fnw.fmr.com/fiisnet/


Fiis f oundations

Q & A


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