Orion
Trading
Industry knowledge
Custodians
One AE
100
How to see a specific book of business instead of all of AEWM's
What is Logging in as the Advisor
100
What third party trade company are we affiliated with?
What is Sawtooth
100

What is an IRA?

What is Individual Retirement Plan

100
What two custodians does AEWM use?
What is Fidelity and TD Ameritrade
100
What four main departments are housed at AE?
What is Annuities, Life, Wealth, and Creative
200
To pull a report for non-allocated accounts what app would you use?
What is Data Queries
200
Placing an account into one of the models built by Sterling
What is an Allocation
200

An account intended for college expenses, that allows contributions up to $15,000 per year and the money remains the custody of the grantor

What is a 529 plan

200
When determining the Capital Gains and Losses on an account what information must you first have?
What is Cost Basis
200
What is AE's goal for production in 2018?
What is 6.5 Bil
300
In what app can you create a way for client's to see their household information, activate them, and reset their password?
What is Manage Users
300
If a client is wanting a monthly distribution to be deposited into their bank account, how could the advisor ensure the funds to be available every month?
What is a Cash Minimum
300

A person that, for compensation, is engaged in the act of providing advice and making recommendations on securities. 

What is a Registered Investment Advisor (RIA)

300
How do you update an address on a Fidelity account?
What is initiate service request
300
David, Derek, and Cody
Who are the founders
400
Quick way to find the beginning market value of a client's household? 
What is "activity" under client portal
400
Client has $100,000 account and wants to allocate $50,000 into Diversified Income, the client also wants to purchase an annuity for $50,000. How would the client set aside $50,000 out of the allocation to purchase the annuity? 
What is note it in the special instructions
400

How standard trades settle

What is T + 2

400
When a client requests to pull money from their bank account to their brokerage account on a systematic basis. 
What is periodic investments 
400
If compliance holds a client check for more than three days. 
What is custody of the account 
500

Allowing for multiple sleeves with different objectives to be held within the same account, without separating into multiple accounts

What is UMA structure

500

When you receive a call for a stop payment and reissue of a check into a client's account, what must you first do?

What is issue a trade block on the account 

500

In order for an Investment advisor representative (IAR) to be allowed to write business in any state, without being registered in each state they must be affiliated with

What is a Federal covered advisor. (Registered with the SEC)

500
Client funds direct deposited into their bank account
What is EFT or ACH 
500
AE was founded around the kitchen table in what year?
What is 2005
M
e
n
u