Product Knowledge
What is a Mutual Fund
A mutual fund is an investment that pools money from many investors to purchase a diversified portfolio of stocks, bonds, or other securities. This diversification helps reduce risk compared to investing in individual securities
"They are a Mom & Pop shop"
Nick-Easby Smith
Which company do we license AdvisorEnterprise from
Envestnet
Who is our CCO
Mike Pedlow
Who is the longest tenured member of the WM Team
Will Gallegos
What company do we utilize as our platform for Alternative Investments for both product availability and ticket entry.
iCapital
"Can you use your HSA for lip injections"
Anastasia Martino
What are the 5 programs in AE?
APM-Tickets, APM-Wrap, FSP, SMA, UMA
What does CLM stand for
Career Limiting Move
Name all of Wealth Management external/remote employees
Joan, Larry, Scott, Nick, Andy
What is the Horizon Account Conversion
Horizon billing is being shutdown by NFS so all accounts are being mapped and converted to AE
"I cant ever go back there, I hit my head on their light and it broke"
Ryan Griswold
Where can advisors review accounts affected by Investment Policies?
The Investment Policy Exceptions Report
What are our 3 core company values
One Team, Serve, Make it Happen
What country is Nicole from?
Honduras
What are the differences in downside protection on a VA, RILA, and FIA
VA has none, RILA has limited via buffer or floors, FIA is fully downside protected
"Wait...so you don't live in Waco?"
Nicole Gatlin
When did we separate from NFP
2016
What are the names of the 3 service teams?
Bold, Nimble, Swift
Which Ryan is Big Ryan and which Ryan is little ryan
Ryan Cooper is Big Ryan. Ryan Griswold is little ryan
What is direct indexing?
Direct indexing is an investment strategy where investors directly hold the individual stocks that make up a chosen market index. This allows for additional customizations compared to MF/ETF
"I don't open, I close"
John Amore
How many Stevie awards did Kestra win in 2025?
5
What are all of the sub-departments within WM
Wealth Consulting, Advisory consulting, Financial planning, Retirement plans, Advisory Platforms, Due diligence
Which WM team member was nominated for an ESPY