 Excecutive Summary

 Company and Financing Summary

 Products and Services Overview
 Strategic Analysis with current research!
 Marketing Plan
 Personnel Plan
 3 Year Advanced Financial Plan
 Expanded Financial Plan with Monthly Financials
 Loan Amortization and ROI Tools
 FREE PowerPoint Presentation for Banks, Investors, or Grant Companies!

1.0 Executive Summary

The purpose of this business plan is to raise $100,000 for the development of a broker dealer while
showcasing the expected financials and operations over the next three years. Broker Dealer, Inc. (“the
Company”) is a New York based corporation that will provide brokering of stocks and other financial
instruments as well as financial advice within the Company’s targeted market of New York. The Company
was founded by John Doe.

1.1 Products and Services

The Broker Dealer’s primary revenue center will come from the ongoing trades and orders placed for
stocks, options, and other investment instruments on behalf of its client base. The business will earn
approximately $7 to $9 per trade placed by a client. The business will also earn ongoing revenues from
advisory fees based on the size of accounts maintained by clients. On a per annum basis, the business
will charge an amount equal to 1% of assets under management. The third section of the business plan
will further describe the services offered by the Private Placement Broker, Inc.

1.2 The Financing

Mr. Doe is seeking to raise $100,000 from as a private investment. The business is seeking to sell a 45%
interest in the business in exchange for the requisite capital sought in this business plan. The investor will
also receive a seat on the board of directors and a regular stream of dividends.

1.3 Mission Statement

Broker Dealer, Inc.’s mission is to develop a business that provides outstanding execution for trades while
concurrently providing insightful financial advice to its clients throughout the New York metropolitan area.

1.4 Mangement Team

The Company was founded by John Doe. Mr. Doe has more than 10 years of experience in the stock
brokering and investment advisory industry. Through his expertise, he will be able to bring the operations
of the business to profitability within its first year of operations.

1.5 Sales Forecasts

Mr. Doe expects a strong rate of growth at the start of operations. Below are the expected financials over
the next three years.
1.6 Expansion Plan

The Founder expects that the business will aggressively expand during the first three years of operation.
Mr. Doe intends to implement marketing campaigns that will effectively target individuals that are in need
of specialized trading accounts, IRAs, and general investment advice in addition to providing broker
dealer services.

2.0 Company and Financing Summary

2.1 Registered Name and Corporate Structure

Broker Dealer, Inc. The Company is registered as a corporation in the State of New York.

2.2 Required Funds

At this time, the Broker Dealer requires $100,000 of equity funds. Below is a breakdown of how these
funds will be used:
2.3 Investor Equity

Mr. Doe is seeking to sell a 45% equity interest in the business in exchange for the capital required in
order to launch the operations of the Broker Dealer.

2.4 Management Equity

John Doe owns 100% of the Broker Dealer, Inc. This capital structure will change once the requisite
capital has been raised.

2.5 Exit Strategy

If the business is very successful, Mr. Doe may seek to sell the business to a third party for a significant
earnings multiple. Most likely, the Company will hire a qualified investment bank to sell the business on
behalf of the Broker Dealer. Based on historical numbers, the business could fetch a sales premium of up
to 4 times earnings.

3.0 Products and Services

Below is a description of the investment and stock brokering services offered by the Broker Dealer.

3.1 Stock Brokering Services

As discussed in the executive summary, the primary revenue center for the business will come from the
ongoing placing of orders for stocks and options purchases on behalf of clients that hold accounts with
the Broker Dealer. On each trade, the business will generate approximately $7 to $9 of revenue.
However, these fees may be higher if the trade is specific for options or a large order of securities. Mr.
Doe is currently acquiring all of the appropriate licensure so that the business can act in a multifaceted
capacity when it comes to placing stock trades, mutual fund purchases, and options trades on behalf of
its clients.

3.2 Investment Advisory Services

The Broker Dealer’s secondary revenue center will come from the ongoing advisory services provided to
clients that are seeking to effectively have a well balanced portfolio that mitigates risk and provides above
market average returns for its investors. The business will charge a yearly fee equal to 1% of the total
assets under management for each client enrolled in the Company’s investment advisory and broker
dealer programs.

4.0 Strategic and Market Analysis

4.1 Economic Outlook

This section of the analysis will detail the economic climate, the Broker Dealer industry, the customer
profile, and the competition that the business will face as it progresses through its business operations. At
this time, the economy is coming out of its recession. The job market has improved, and businesses are
beginning to make investments into expansion. As such, the demand among companies that are seeking
capital to expand its immense. The Broker Dealer will be able to remain profitable and cash flow positive
at all times given the highly recurring streams of revenue generated from the Company’s investment
advisory services.

4.2 Industry Analysis

Within the United States, there are approximately 30,000 businesses that are registered as broker dealer
with the Securities and Exchange Commission. The industry employs approximately 350,000 people. In
each of the last five years, annual revenues among broker dealers has exceeded $107 billion while
annual payrolls have reached an all time high of $50 billion. This is a mature industry, and the expected
future growth rate is expected to remain in line with the United States economy in general.

4.3 Customer Profile

The Broker Dealer’s average client will be a company that is seeking to raise startup or expansion capital.
Below is an overview of the demographics anticipated by the Company: • Is based in the New York
metropolitan area. • Has $100,000 to $1,000,000 if investment capital. • Will spend $1,000 to $10,000 on
Broker Dealer Services on a yearly basis including fees related to asset management.

4.4 Competitive Analysis

This is one of the sections of the business plan that you must write completely on your own. The key to
writing a strong competitive analysis is that you do your research on the local competition. Find out who
your competitors are by searching online directories and searching in your local Yellow Pages. If there
are a number of competitors in the same industry (meaning that it is not feasible to describe each one)
then showcase the number of businesses that compete with you, and why your business will provide
customers with service/products that are of better quality or less expensive than your competition.

5.0 Marketing Plan

The Broker Dealer intends to maintain an extensive marketing campaign that will ensure maximum
visibility for the business in its targeted market. Below is an overview of the marketing strategies and
objectives of the Broker Dealer.

5.1 Marketing Objectives

 • Maintain a strong database of registered representatives that can assist the business with
exponential growth over the next three years of operation.
 • Develop a broad range website that showcases the licensure and stock brokering, options
brokering, and mutual fund sales available through the Broker Dealer.
 • Establish relationships with area investment banks, other stock brokerages, and private
investors.

5.2 Marketing Strategies

Mr. Doe intends on using a number of strategies that will aggressively showcase the Broker Dealer
services and Investment Advisory services available through Broker Dealer, Inc. These advertisements
will focus on the local New York metropolitan market. The marketing messages to be used by the
business will focus on the experience of the Company’s principals and Founders while concurrently
showcasing the low cost associated with using Broker Dealer, Inc. for investment purposes. The business
will also develop a highly informative website that shows the operations of the business, its past track
record, and how an individual or business can become a client of Broker Dealer, Inc. This website will
also feature specialized login features so that individuals can see their account balances on a real time
basis. This website will also allow individuals to place trades with the Broker Dealer in an online basis.

5.3 Pricing

In this section, describe the pricing of your services and products. You should provide as much
information as possible about your pricing as possible in this section. However, if you have hundreds of
items, condense your product list categorically. This section of the business plan should not span more
than 1 page.

6.0 Organizational Plan and Personnel Summary

6.1 Corporate Organization

6.2 Organizational Budget
6.3 Management Biographies

In this section of the business plan, you should write a two to four paragraph biography about
your work experience, your education, and your skill set. For each owner or key employee, you
should provide a brief biography in this section.

7.0 Financial Plan

7.1 Underlying Assumptions

  • Broker Dealer will have an annual revenue growth rate of 16% per year.
 • Management will acquire $100,000 of investor funds to launch the operations of the Broker
Dealer.
 • Management will settle most short term payables on a monthly basis.

7.2 Sensitivity Analysis

In the event of an economic downturn, the business may have a decline in its revenues. However, the
business will generate highly recurring streams of revenue from the ongoing sales of securities coupled
with investment advisory services on an ongoing basis. This will ensure that the Broker Dealer remains
profitable and cash flow positive at all times.

7.3 Source of Funds

7.4 General Assumptions

7.5 Profit and Loss Statements

7.6 Cash Flow Analysis
7.7 Balance Sheet
.

7.8 General Assumptions

7.9 Business Ratios

Expanded Profit and Loss Statements

Expanded Cash Flow Analysis