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 plays drums in their free time.
Who is Colombo?
This is the amount of time that can pass without a recorded review before CFN can remove the fee from a client account(s).
What is 24 months (2 years)?
This is the name for PPS Custom accounts on the LPL platform.
What is Strategic Asset Management (SAM)?
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 has a 135lb Great Dane.
Who is Dan?
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?
This is the name for the CommunityLink equivalent at LPL.
What is ClientWorks?
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 owned and operated a restaurant for years.
Who is Terry?
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.
This is how long the historical performance of accounts will be available at LPL.
What is 30 years?
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 has a goal to read 50+ books a year.
Who is Jeannie?
This is the full name of our Sr. Conversion Consultant at LPL.
Who is Kristie Hicks-Davidson?
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 is a licensed massage therapist.
Who is Tiffany?
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?
If a client opts-out of the LPL conversion, the advisor has till this date to opt them back in.
When is October 23rd?