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(1). To be able to adapt quickly to different situations … even when you have no idea what you’re doing.
“Okay, team … now if we’re going to hold ourselves out there as a nimble wealth manager, we’re going to have to cut a few corners for our clients. So, I’d like to get your thoughts on SEC reporting avoidence strategies ….”
(1). That hot night out with a prospect intended to close the deal.
“Hey, Tom. Got my “sell” dinner tonight with that big hedge fund guy and I want to show him a good time. You still got that friend over at Jiggles? I really want this guy to leave with a smile on his face!”
(1). The absolute minimum you need to do to not get in trouble with the Feds.
“This sounds like it’s going to cost a lot of money to get this done. What’s our baseline suitability obligation here? Do we really need to have a system that works THAT good?”
