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 the
right direction or the wrong direction, agreed? Now, if anyone of our investments moves in the wrong
direction by more than 8%,(prospect), I will call you up and suggest we sell it immediately. An 8% or
10%loss is VERY easy to make up. It is when you are down 20, 30, and 40%, that iswhen you find yourself
in serious trouble. So for every investment I make, preservation of capital is my primary concern. My
secondary concern is to protectthe profits we have made, especially under these volatile market
conditions. Nowwhen (stock) is trading 20% higher, I am not going to call you up and suggest wesell just
because 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 bad
news 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 the
investment as we possibly can. Now, give me theopportunity on (shares), I will show you a level of
professionalism and anapproach to this business you have never seen before!
2.

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 on
Wall Street and the 2
nd
largest inthe world. All of our accounts are held and domiciled at Sterne, Agee, and Leach.Your checks
are 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 you
realize not every broker is as talented and as hard working as the next. Iam in my office 12-14 hours per
week, 6 days per week, and specialize in bringing under valued investments like (stock) to my clients so
there is NOQUESTION I can be of some value to you. Pick up the (shares), I will have aFedEx package on
your desk with all of the information on my firm, thiscompany, and your new account. Check it out, go
over your funds, and if you likethis company half as much as I do, I will allow you to pick up as many
extrashares as you would like at no commission, my gift to you. Now, if the stock runs,the way I believe
it is going to, you hold onto the (shares), work with me over thenext 8-10 weeks and judge me solely
and strictly on a percentage gained basis.


3.

Self 3: Market Conditions/ Chief Market Analyst Close
You realize we just got out of a MAJOR market correction dont you? Thecompanies that were once
healthy, they are now sick. Studies have shown only 3% of the original market leaders will actually
return 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 (drop
share amount)and this is what I can do for you. You provide me with a list of companies that youown
and I will review them with my chief market analyst, Wayne Kaufman to provide a comprehensive
portfolio review. You will see which of the companies youown will perform over the next 6 months and
why, but more importantly, you will seewhich of the companies you own will be left behind over the
next 6 months and why.After the next 1 or 2 quarters, you will see I am the guy who can book you
profitswhether the market is up, down, or sideways! When you see how knowledgeable I amabout the
different companies and industries and combine that with the quality of companies I bring you, you will
be very impressed! Now, let me go to work on(shares) you will never have to open another account
again.
4.

Self 4: Competitive Account Close
I know you have dealt with these big wire house firms like Merrill Lynch or SmithBarney right?? Of
course you have! These firms have investment bankingrelationships with the companies they
recommend so they cannot upgrade or downgrade stocks in a timely fashion in fear of losing millions of
dollars 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 and
fundamental analysis, if we believe a stock is trading higher, we buyit, if we believe a stock is going to
trade lower we either sell it or short it. Open acompetitive account! Put me up against your other wire
house brokers. Give me thenext 60-90 days and once you see how knowledgeable I am about the
differentindustries and sectors and you combine that with the quality of companies I am goingto bring
you, you will be very impressed! Now on 100 shares, we will get thisaccount setup individually for the
sake of simplicity.
5.

Self 5: Comfort/ Establish a Track Record Close
Lets just say I had been your broker, consistently making you money over the pastcouple of months, it
is safe to say that you would at least be buying some stock right?Of course you would! Now, I
understand I dont have the luxury of a track record, but that is exactly what I am trying to establish here
today. Lets take a step back for a minute. All you know about me is my name is (name) and I am a stock
broker at(firm). What you dont know about me is I am in my office 12-14 hours per day andam one of
the top up and coming brokers at this firm. Forget the (shares), in an effortto make you feel more
comfortable, pick up just (firms minimum shares), althoughyou wont make as much money as my
existing clients do, your percentage gains will be the exact same! If you can judge me on that and that
alone, the only problem weare going to have here today is that you didnt know me well enough now to
pick upmore!!

6.

Self 6: Downside Protection & Motivation Close
(Prospect), now what I am sensing here is not so much that you need to (staterebuttal), but more so
that 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 my
clients 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, you
make a fast $500 or $1000, that will notmake you rich either will it? You are not going to get rich on this
trade nor will youget rich. My commission, after I split it with the firm and the IRS, hell, I am not evenleft
with 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 more
importantly, keep dollars and cents wherethey belong, in your pocket! Do this, work on my firms
minimum (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 doI
send your funds and second, where do I stick my phone because I simply did not domy job. If this stock
does 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
(Prospect), now what I am sensing here is not so much that you need to (staterebuttal), but more so
that 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 my
clients 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, you
make a fast $500 or $1000, that will notmake you rich either will it? You are not going to get rich on this
trade nor will youget rich. My commission, after I split it with the firm and the IRS, hell, I am not evenleft
with 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 more
importantly, keep dollars and cents wherethey belong, in your pocket! Do this, work on my firms
minimum (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 doI
send your funds and second, where do I stick my phone because I simply did not domy job. If this stock
does 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.
7.

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 this
point in time, I cannot afford to be wrong. I am puffing my bestfoot forward with (stock) because lets
face 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 currently
holding on to. (Pause) Can I make a suggestion? (pause) Just to get toknow each other and put you on
my 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. Why
was Ifooling around with just 100 shares? Give me the shot on 100 shares, it is the rightthing to do!!
8.

Self 8: Investment Banking Experience Close
My experience, background, and connections on Wall Street are second to none. I eatand sleep this
business. I am in the office at 7am and leave after 9pm 6 days per week. We have made our clients a
great deal of money in this market through acombination of hard work, determination, and accurate
information. The money that Imake you on (stock) is not as important as the tremendous asset I can be
to you over the long term in the ways of our new issues, leveraged buy-outs, and asset plays. Youare not
going to get rich on this trade, but I am going to show you one hell of a percentage gain. Do just (firms
minimum) if you like what you see, which I knowyou will, we will work bigger and better later ok??

9.

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 brokers
would ask that you take a 10,000 position,charge $5,000 commission and WIN, LOSE, or DRAW-theyve
made their moneyupfront. I am willing to start out small, with my minimum commission, and let youtest
our program because I know we are going to do a good job and make you money.(Prospect) let the
results convince you that you made the right decision!
10.

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 you
ever listen to me again? (If yes, you might listen, but you wouldnever buy) If I am right and I make you
25-30% chances are, you would be willing towork bigger and better on my next idea, right? Exactly! Now
I 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, we
will do more business, if not we part as gentlemen. Let me have just1% of your trust and confidence on
this small trade of 100 shares. I will never have toask for it again!!
11.

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 life
and your familys life in the hands of astranger. I am not asking you for your familys life! What I am
asking you for is oneopportunity to show you that I can bring you consistent returns in any market. Get
toknow me today on 100 shares, in 60-90 days, you will be happy that you did!
12.

Self 12: Search is Over Close
The law of averages says that you have to sift through 100 brokers before you findthe one that can
make you money consistently. Well, I have got to tell you that thesearch has ended. Start out on 100
shares, 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!
13.

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 the
market? You know as well as I do that there are aselect group of people on Wall Street who consistently
make money for their clients,come hell or high water. I am looking for one shot on (shares) with a total
down 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 you
are more liquid, more importantly, as my performancewarrants it, we work bigger and better next time.
Fair enough?

14.

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 am
doing is using (stock) as a benchmark for future business. People do business with you because YOURE
theexpert. And thats the same reason why people do business with me. LIKEWISE,we are both
professionals. I am not asking you to buy the market. I am not evenasking you to buy 100 shares of a
company. I am asking you to buy 100 shares of me. GIVE ME ONE SHOT to prove to you that having a
relationship with a topadvisor on Wall Street CAN MAKE YOU A LOT OF MONEYnot overnight, but over
a period of time.
15.

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
market? You know as well as I there areselect group of people on Wall Street who consistently make
money for their clients, come hell or high water. I am looking for one shot on (shares) with a totaldown
side risk of (risk amount). I will not ask you for another dime, not another red cent, not a stitch of stock
until (stock) trades substantially higher. But what Ido ask of you is that when you see that I am right next
time out, when you aremore liquid, more importantly as my performance warrants it, we work a little
bigger than 100 shares. Fair enough?
16.

Self 16: Risk Close
We are obviously in a risk element, the market. There are great fluctuations,sector rotations, earnings
disappointments, 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 willnever
be a fair weathered friend, patting myself on the back when the stock goesup, and then hiding behind
my desk when they go down. If something materiallychanges, I will be on the phone with you in a
heartbeat. I let my profits and I cutlosses short. So, if our holdings are moving up, you may not hear
from me for awhile. Lets do 100 shares, I will not disappoint you!!
17.

Self 17: Trust Close
(Prospect), believe me, I understand your concerns. In fact, if someone were toask me to invest (dollar
amount), 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 without
it. Giveme your trust and confidence this one time and I will never, never have to ask for it again. Lets go
with just 100 shares, its going to work out in a big way.