Lights, Camera, Finance!
This 2013 film follows the rise and fall of a high-flying stockbroker played by Leonardo DiCaprio.
What is The Wolf of Wall Street?
This tier has assets between $1M and $2M.
What is a B client?
This person frequently races automobiles in their sparetime.
Who is Jeff?
This is the spreadsheet that needs to be updated anytime a gift is purchased for a client.
What is the Client Gift List?
AAPL - This tech giant is one of the largest companies in the world
What is Apple?
This 2015 film breaks down the 2008 housing crash using celebrity cameos to explain complex financial concepts.
What is The Big Short?
This is the amount of assest a client must be below to qualify as a S, L or N client.
What is $500k?
This person graduated from Marist College in 2022.
Who is Nicole?
This is the document that should be delivered to a prospect or new client at or prior to any initial recommendation, such as for account type (e.g., brokerage, advisory, direct), a rollover, a securities transaction, or an investment strategy involving securities.
What is the Form CRS?
TROW – This firm is known for active mutual fund management and retirement services
What is T. Rowe Price?
This 1987 classic features the ruthless corporate raider Gordon Gekko and the famous line “Greed is good.”
What is Wall Street?
This is the touch point frequency for an A client.
What is 3 months.
This person met their spouse while in school at Hamilton College.
Who is Matt?
The following list indicates electronic communication platforms or channels that are unapproved for any business-related communications except one:
Unhosted text messaging
Any instant messaging channel other than Teams
iMessage or SMS messaging
Slack, WhatsApp, WeChat, Signal, Discord
Personal email accounts
TRICK QUESTION - These are all unproved - Double points if you got it right.
SCHW – This company is a major custodian and brokerage firm widely used by financial advisors
What is Charles Schwab?
This 2000 film tells the story of a group of young stockbrokers running a shady brokerage firm.
What is Boiler Room?
This is what the following client categories stand for: S, L, N.
This person spent a year abroad in Germany during their junior year of college.
Who is Dave?
GOOGL – This company dominates search and owns YouTube
What is Alphabet?
This 2011 film stars Kevin Spacey and focuses on the early hours of the 2008 financial crisis inside an investment bank.
What is Margin Call?
This is the tax planning software that is exclusively used for A & B clients.
What is Holistiplan.
This person travelled to Munich, Germany for their honeymoon.
Who is Seth?
All but one of the following titles are approved for non-registered staff members:
Wealth Management Concierge
Financial Planning Coordinator
Financial Services Specialist
Wealth Services Expert
Financial Advisor Assistant
What is Wealth Services Expert?
NVO – This global pharmaceutical company is known for diabetes and weight-loss drugs like Ozempic.
What is Novo Nordisk?