Advisor FAQ
What is the AUM range of Tier 1?
$1M+
Who qualifies the leads?
Concierge
Name one person you can reach out to for HR needs.
1. Kristen Forlini
2. Sarah Green
List the differences between a 6-month and 12-month contract (2 total)
2. Early Termination Fee applicable to 12-month
How much advanced notice do you need to provide in requesting a one-off Lead Drop?
24 hours
What AUM range covers Tiers 3 and 4 blended?
$25K-$100K
Who is our CEO?
Michael Carvin
How do you qualify for Quota Relief?
Take 5 days off in a month
3-5%
What steps do you take when an advisor you book an appt with has a Disclosure?
1. Enter it in your notes
2. Slack message the Account Executive
How many matches does each investor see when qualified?
UPTO 3
Who does Britt Pennington role up to?
Bryan Vivona
When can you enter a Meal Break?
What OAT feature is excluded for LPL advisors?
Text Messaging
How long does Compliance have to review a Disclosure?
48 hours
What is the early termination fee?
2x month's budget
What is the bonus for referring an AE?
$3,000
How far in advance do you need to give notice for PTO?
2 weeks
Where can an advisor access their leads list?
Advisor Portal
What does Remote Target Area mean for lead geography?
State Wide
Why doesn't an advisor need to update their ADV for buying leads from SmartAsset?
Because they're not buying Exclusive Leads/Referrals
Name 3 sales managers other than me
Phil Kraemer
Brandon Turturro
Liz Walla
Joey Grandelis
Evan Meyers
John Shannon
Outside of business hours, when is it okay to send emails or slack messages?
5 minutes before or after business hours
List 3 items an advisor will show on their match screen profile.
Photo
Location
Years Experience
Areas of Expertise
Certifications
Link to Broker Check
List 6 Broker Dealers we can work with
1. RJ
2. Ameriprise
3. LPL
4. Thrivent
5. UBS
6. Cambridge
7. Cetera/Avantax
8. Osaic
9. PKS/Concurrent
10. Principal
11. Brookstone
12. Sanctuary
13. Commonwealth