Is it difficult and expensive to arrange and manage a team to handle the physical quarterly security counts required by SEC Rule 17a-13? Do you find the process of locating or learning how to replace a certificate tedious and costly? Are the delays to transfer and process missing or lost certificates overwhelming? Does your firm experience difficulties in showing a location for proof of ownership for non-standard assets?

We are pleased to announce DeWaay Financial Network, LLC (DFN) now offers services for vaulting of non-standard assets. This service applies to certificated securities as well as proof of ownerships for book entry positions.

Your firm may benefit from DFN's vaulting service by eliminating costly and labor intensive in-house audits and security counts. The staff of DFN will use proprietary electronic systems to house securities in a secure location and perform security counts on a quarterly basis. The quarterly counts will be performed, audited, and reported to you as required by SEC rules. You will receive statements on a quarterly basis outlining all positions at the beginning of the quarter, all activity during the quarter, and all positions at the end of the quarter. The statements are compiled immediately following the completion of the security counts and will be issued to you within 48 hours following completion.

Positions can be added or removed from the vault inventory at any time with your secure electronic or written request. DFN can deliver certificates as you require, or, if no specific instruction is given, will deliver certificates only to your home offices. Our propriety system gives you the ability to view your inventory at all times through your secure electronic access. Additionally, you will be able to access scanned copies of actual documents whenever you need them, day or night, seven days a week.

By utilizing DFN's vaulting services, you may be able to reduce the expenses and delays incurred when locating and potentially replacing certificates required for transfers. The staff at DFN has the expertise to know which securities require certificates for transfer and which sponsors will charge you a fee or require additional documentation to replace lost or missing certificates. We can optimize your savings and dramatically reduce your expenses with respect to storage and physical counts by only physically housing those certificates which require physical space and can be costly in time and money to replace. All other proof of ownership positions can be held electronically and be readily available to you to help you ensure your internal records are correct.

Benefits can also be drawn by having a central and secure location, both physical and electronic, for all non-standard asset vaulting. This service can be available for custodial positions as well as retail, held as courtesy, positions. Our vaulting service is flexible and can be tailored to provide you with the level of service you require.

Prodigious, a business partner of DFN, can provide additional non-standard asset services such as re-registration and transfer services. All services within the vaulting arena will be billed on a per piece basis; the services provided by Prodigious will be billed separately. You will never pay for a service you are not receiving.

Imagine a world where all the headaches of non-standard assets go away. We have, we're there. Come join us.

Prodigious is a non-standard asset service provider owned and operated independently of DeWaay Financial Network.

DeWaay Financial Network, LLC, Member FINRA, MSRB, SIPC.