Wirehouse
Name 3 Morgan Stanley Fee Based Platforms ?
A: CGA, PM, and Selects UMA
Name 2 aspects of Lord Abbett & Edward Jones shared history.
Private & Long history (1920s)
Which Recordkeeper is not only the largest in the core plan space ($0-$50MM) space but also the name of a football stadium? (hint: Denver)
A: Empower
Which RM had the most sales at Chase in 2020
A: Gratale
Who in SRG was also the AC Desk Manager back in 2008?
A: Mike Surbrug
What is the fee-based platform at UBS where CROPPS is available?
A: Strategic Advisor
Like Lord Abbett, Commonwealth is a private partnership and caters some of the largest independent advisors/teams. Lord Abbett currently ranks X in their system, but we should rank Y
A: (10th, 1st)
What custodians are Cropps available?
A: Schwab, Fidelity, Pershing, TD
What advisory platform is Credit Opportunities available on at LPL?
A: Strategic Asset Management (SAM)
Katie McNeil, Pete Pedersen and this member of SRG were Team Leaders together on the Sales Desk in 2015? Name the 3rd team leader.
A: Mike Canfora
Who is the Merrill Lynch CIO?
A: Chris Hyzy
How many Lord Abbett funds live on the Edward Jones Focus list?
A: 18
Who is the largest 401(k) record-keeper?
A: Fidelity
What is the main difference between SPS Advantage and SPS Advisor?
A: SPS Advantage is Rep as Advisor, SPS Advisor is Rep as PM
What year did Barry Motz join the firm?
A: 1999
What two platforms are Rep as PM at Wells?
A: PIM & Fundamental choice
What % of Edward Jones Advisors do business with Lord Abbett?
A: 84% (closest to without going over)
Hightower is a specific type of RIA firm. There are a few like it (Mercer, dynasty, mariner). Name the type of RIA firm?
A: Aggregator Firm
What fund is on MFAP Platform at Chase?
A: Short Duration Income
What is the name of the team Bruce Gover, Pete Pedersen, Susanna Kvam, and Jared Belasco called?
A: FIG (Financial Institutions group)
Name 2 or 3 funds on the research endorsed list at UBS
A: LBDFX, LCRDX, LFRFX, LYHFX, LISFX, LDLFX
Where can you access the monthly advisor list? What useful information does it contain?
A: (S: Drive, Level, Leadership Position, BOA Name, Can Sell Date)
What platform is Cropps avail at Fidelity?
A: IWS
Name 3 Lord Abbett funds on the Starting Point list for Ameriprise?
A: Floating Rate, Core Fixed, High Yield, Inflation Focused, Short Duration, Ultra Short
Another member of SRG who ran the desk was Bruce Gover. When Bruce first took over the desk, what was the Advisor Consultant Position called?
A: Regional Consultant or RC