Self Closes1

8/12/2019 Self Closes1

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Self Closes1.

Self 1: Stop Loss/ Downside Protection Close

When I make an investment for a client, I have a very simple philosophy. Either astock is moving in theright direction or the wrong direction, agreed? Now, if anyone of our investments moves in the wrongdirection by more than 8%,(prospect), I will call you up and suggest we sell it immediately. An 8% or10%loss is VERY easy to make up. It is when you are down 20, 30, and 40%, that iswhen you find yourselfin serious trouble. So for every investment I make, preservation of capital is my primary concern. Mysecondary concern is to protectthe profits we have made, especially under these volatile marketconditions. Nowwhen (stock) is trading 20% higher, I am not going to call you up and suggest wesell justbecause we are up 20%, instead I will carefully watch the investment byits support and resistance levels,point by point, and its trading range- that way if any bad news comes out on the market, hell, if any badnews comes out on thecompany, our profits are protected. Should this stock continue to trade higher,theway I believe it is going to, I will simply trail your stop loss up, and squeeze asmuch profit out of theinvestment as we possibly can. Now, give me theopportunity on (shares), I will show you a level ofprofessionalism and anapproach to this business you have never seen before!

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Self 2: Firm/Clearing House/Broker Information Close

Why dont you write down my information? My name is (name), my firm is(firm), and my number is

(phone). You have heard of Sterne Agee and Leachright? Well, they are the oldest clearing house onWall Street and the 2

nd

largest inthe world. All of our accounts are held and domiciled at Sterne, Agee, and Leach.Your checksare made payable directly to them and your monthly accountstatements come directly from them as

well, so you know your accounts aresecure. My firm (firm), is the fastest growing firm on Wall Street.We have wellover a hundred brokers, and you yourself use (# of brokers) as well, however I amsure yourealize not every broker is as talented and as hard working as the next. Iam in my office 12-14 hours perweek, 6 days per week, and specialize in bringing under valued investments like (stock) to my clients sothere is NOQUESTION I can be of some value to you. Pick up the (shares), I will have aFedEx package onyour desk with all of the information on my firm, thiscompany, and your new account. Check it out, goover your funds, and if you likethis company half as much as I do, I will allow you to pick up as many


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extrashares as you would like at no commission, my gift to you. Now, if the stock runs,the way I believeit is going to, you hold onto the (shares), work with me over thenext 8-10 weeks and judge me solelyand strictly on a percentage gained basis.

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Self 3: Market Conditions/ Chief Market Analyst Close

You realize we just got out of a MAJOR market correction dont you? Thecompanie s that were oncehealthy, they are now sick. Studies have shown only 3% of the original market leaders will actuallyreturn to the market as leaders. So now, morethat ever, it is important to get involved with the

companies that are going to lead thisnext market rally, like (stock). Forget the (shares), pick up just (dropshare amount)and this is what I can do for you. You provide me with a list of companies that youownand I will review them with my chief market analyst, Wayne Kaufman to provide a comprehensiveportfolio review. You will see which of the companies youown will perform over the next 6 months andwhy, but more importantly, you will seewhich of the companies you own will be left behind over thenext 6 months and why.After the next 1 or 2 quarters, you will see I am the guy who can book youprofitswhether the market is up, down, or sideways! When you see how knowledgeable I amabout thedifferent companies and industries and combine that with the quality of companies I bring you, you willbe very impressed! Now, let me go to work on(shares) you will never have to open another accountagain.

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Self 4: Competitive Account Close

I know you have dealt with these big wire house firms like Merrill Lynch or SmithBarney right?? Ofcourse you have! These firms have investment bankingrelationships with the companies theyrecommend so they cannot upgrade or downgrade stocks in a timely fashion in fear of losing millions ofdollars of investment banking business. We at (firm) do not have that problem because we haveno

affiliation with the stocks we recommend. Our research is based on a combinationof technical andfundamental analysis, if we believe a stock is trading higher, we buyit, if we believe a stock is going totrade lower we either sell it or short it. Open acompetitive account! Put me up against your other wirehouse brokers. Give me thenext 60-90 days and once you see how knowledgeable I am about thedifferentindustries and sectors and you combine that with the quality of companies I am goingto bringyou, you will be very impressed! Now on 100 shares, we will get thisaccount setup individually for thesake of simplicity.


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Self 5: Comfort/ Establish a Track Record Close

Lets just say I had been your broker, consistently making you money over the p astcouple of months, itis safe to say that you would at least be buying some stock right?Of course you would! Now, Iunderstand I dont have the luxury of a track record, but that is exactly what I am trying to establish heretoday. Lets take a step back for a minute. All you know about me is my name is (name) and I am a stockbroker at(firm). What you dont know about me is I am in my office 12 -14 hours per day andam one ofthe top up and coming brokers at this firm. Forget the (shares), in an effortto make you feel morecomfortable, pick up just (firms minimum shares), althoughyou wont make as much money as myexisting clients do, your percentage gains will be the exact same! If you can judge me on that and thatalone, the only problem weare going to hav e here today is that you didnt know me well enough now topick upmore!!

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Self 6: Downside Protection & Motivation Close

(Prospect), now what I am sensing here is not so much that you need to (staterebuttal), but more sothat you are being conservative because you dont know me,am I right? Well, I just happen to be a very

conservative broker myself. I did not getinto the position I am in today by not taking into account myclients downside risk.Lets just sa y hypothetically, you pick up 100 shares of my number one pick,itquickly drops 3 points and you lose $300. While you wont be very happy with me,you wont be in thestreet with a can now will you? Of course not!! On the flip side,this stock runs a quick 5 or 10 points, youmake a fast $500 or $1000, that will notmake you rich either will it? You are not going to get rich on thistrade nor will youget rich. My commission, after I split it with the firm and the IRS, hell, I am not evenleftwith enough to buy myself lunch. So what is my motivation? My motivation is toestablish a track record,to show you I am the broker who can guide you into and outof the market at the right time, but moreimportantly, keep dollars and cents wherethey belong, in your pocket! Do this, work on my firmsminimum (shares). Give methe next 60-90 days, if you are not completely satisfied with the

performance of thiscompany or myself, I will call you up and ask you just two questions. First, where doIsend your funds and second, where do I stick my phone because I simply did not domy job. If this stockdoes trade higher, the way I believe it is going to, all I ask is thatyou never make me work so hard for(shares) of stock again and maybe even pass my business card out to some of your golfing buddies6.

Self 6: Downside Protection & Motivation Close


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(Prospect), now what I am sensing here is not so much that you need to (staterebuttal), but more sothat you are being conservative because you dont know me,am I right? Well, I just happen t o be a veryconservative broker myself. I did not getinto the position I am in today by not taking into account myclients downside risk.Lets just say hypothetically, you pick up 100 shares of my number one pick,

itquickly drops 3 points and you lose $300. While you wont be very happy with me,you wont be in the

street with a can now will you? Of course not!! On the flip side,this stock runs a quick 5 or 10 points, youmake a fast $500 or $1000, that will notmake you rich either will it? You are not going to get rich on thistrade nor will youget rich. My commission, after I split it with the firm and the IRS, hell, I am not evenleftwith enough to buy myself lunch. So what is my motivation? My motivation is toestablish a track record,to show you I am the broker who can guide you into and outof the market at the right time, but moreimportantly, keep dollars and cents wherethey belong, in your pocket! Do this, work on my firmsminimum (shares). Give methe next 60-90 days, if you are not completely satisfied with theperformance of thiscompany or myself, I will call you up and ask you just two questions. First, where doIsend your funds and second, where do I stick my phone because I simply did not domy job. If this stockdoes trade higher, the way I believe it is going to, all I ask is thatyou never make me work so hard for(shares) of stock again and maybe even pass my business card out to some of your golfing buddies.

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Self 7: Future Business/Credibility Close

I will tell you this much (prospect), we have been on the phone for quite some timeand I realize at thispoint in time, I cannot afford to be wrong. I am puffing my bestfoot forward with (stock) because letsface it, any future business we do together will be based upon my performance right here, right now!!

Basically, (prospect), if I amright, I have credibility with you! If I am wrong, I dont get a second chance.Now Ihave to believe strongly that (stock) will outperform (pause) 80% of the stocks youare currentlyholding on to. (Pause) Can I make a suggestion? (pause) Just to get toknow each other and put you onmy team, as an absolute joke, we title the account on100 shares and when we see the stock at (target)or better, youre going to say,(name), you persistent good looking son of a bitch, you were right. Whywas Ifooling around with just 100 shares? Give me the shot on 100 shares, it is the rightthing to do!!

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Self 8: Investment Banking Experience Close

My experience, background, and connections on Wall Street are second to none. I eatand sleep thisbusiness. I am in the office at 7am and leave after 9pm 6 days per week. We have made our clients agreat deal of money in this market through acombination of hard work, determination, and accurateinformation. The money that Imake you on (stock) is not as important as the tremendous asset I can beto you over the long term in the ways of our new issues, leveraged buy-outs, and asset plays. Youare not


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going to get rich on this trade, but I am going to show you one hell of a percentage gain. Do just (firmsminimum) if you like what you see, which I knowyou will, we will work bigger and better later ok??

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Self 9: Small Order & Low Commission Close

I just want you to understand that most of our clients are high net worth individuals just like yourself,but they have all started off the same way- a couple hundred or couple thousand shares. Most brokerswould ask that you take a 10,000 position,charge $5,000 commission and WIN, LOSE, or DRAW- theyvemade their moneyupfront. I am willing to start out small, with my minimum commission, and let youtestour program because I know we are going to do a good job and make you money.(Prospect) let theresults convince you that you made the right decision!

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Self 10: Future Business Close

Let me ask you this; lets say I were to pick you up 100 shares and the stock drops likea rock. Would youever listen to me again? (If yes, you might listen, but you wouldnever buy) If I am right and I make you25-30% chances are, you would be willing towork bigger and better on my next idea, right? Exactly! NowI am putting my bestfoot forward here, because lets face it, any future business we do together will be

based on this one trade where I am willing to discount my commission to a minimum.If I perform, wewill do more business, if not we part as gentlemen. Let me have just1% of your trust and confidence onthis small trade of 100 shares. I will never have toask for it again!!

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Self 11: Trust Close

Let me ask you, do you have any kids? Okay, have you ever taken them on a plane?Well, before you got

on the plane did you meet the pilot and crew; maybe ask them totake a BAC test? Well you put your lifeand your familys life in the hands of astranger. I am not asking you for your familys life! What I amasking you for is oneopportunity to show you that I can bring you consistent returns in any market. Gettoknow me today on 100 shares, in 60-90 days, you will be happy that you did!

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Self 12: Search is Over Close

The law of averages says that you have to sift through 100 brokers before you findthe one that canmake you money consistently. Well, I have got to tell you that thesearch has ended. Start out on 100shares, and once you realize the value of our research and the level of dedication to our clients, you will

never want to openanother account again!

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Self 13: Serious Money Close

I am looking for a long term relationship with an investor who wants to make moneyin the market.Everybody comes to you with ideas, but has anyone ever made youreal, I mean real money in themarket? You know as well as I do that there are aselect group of people on Wall Street who consistentlymake money for their clients,come hell or high water. I am looking for one shot on (shares) with a totaldown siderisk of (amount). I will not ask you for another dime, not another red cent, not a stitchof stock,until (stock) trades higher. What I will ask of you is that when you see I amright, next time out, when youare more liquid, more importantly, as my performancewarrants it, we work bigger and better next time.Fair enough?

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Self 14: One Shot for Future Business Close

I dont want you to think too much about this company...I tell you why...To laythe foundation for long

and profitable relationship, its not about this stock...Icould have brought you anything....What I amdoing is using (stock) as a benchmark for future business. People do business with you because YOUREtheexpert. And thats the same reason why people do business w ith me. LIKEWISE,we are bothprofessionals. I am not asking you to buy the market. I am not evenasking you to buy 100 shares of acompany. I am asking you to buy 100 shares of me. GIVE ME ONE SHOT to prove to you that having arelationship with a topadviso r on Wall Street CAN MAKE YOU A LOT OF MONEYnot overnight, but overa period of time.

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Self 15: Serious Money Close

I am looking for a long term relationship with an investor who wants to makemoney in the market.Everybody comes to you with ideas, but has anyone ever made you real, I mean real money in the


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market? You know as well as I there areselect group of people on Wall Street who consistently makemoney for their clients, come hell or high water. I am looking for one shot on (shares) with a totaldownside risk of (risk amount). I will not ask you for another dime, not another red cent, not a stitch of stockuntil (stock) trades substantially higher. But what Ido ask of you is that when you see that I am right nexttime out, when you aremore liquid, more importantly as my performance warrants it, we work a little

bigger than 100 shares. Fair enough?

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Self 16: Risk Close

We are obviously in a risk element, the market. There are great fluctuations,sector rotations, earningsdisappointments, etcWouldnt you agree? Ill tell youthis much, the greatest risk is any venture is

entering into a relationship withsomeone you cannot trust. (Prospect), I am totally removing that

element from theequation. I am someone who will work harder for your money than you do. I willneverbe a fair weathered friend, patting myself on the back when the stock goesup, and then hiding behindmy desk when they go down. If something materiallychanges, I will be on the phone with you in aheartbeat. I let my profits and I cutlosses short. So, if our holdings are moving up, you may not hearfrom me for awhile. Lets do 100 shares, I will not disappoint you!!

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Self 17: Trust Close

(Prospect), believe me, I understand your concerns. In fact, if someone were toask me to invest (dollaramount), with whom I didnt know very well, I might be alittle skeptical too. So I absolutely understand,and I know I am asking you tostretch yourself but I also know that nothing great was ever done withoutit. Giveme your trust and confidence this one time and I will never, never have to ask for it again. Lets gowith just 100 shares, its going to work out in a big way.

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Self Closes1