Sales Script Stocks

GENERIC STOCK MARKET - REBUTTALS
SMOOZE/1
My clientele consists of high-net-worth investors, very influential people like
you.
SMOOZE/2
If you have any questions about ______ , or the market, or anything that you're
holding, feel free to give me a call.
SMOOZE/3
If I have anything that warrants your attention, either myself or a member of my
staff, will get in touch with you. Have a great day ...
IP0/1
_______, if you're on the phone with me for __________ , you’re missing
the point. My firm gets involved in 3 to 4 IPOs a year, and not only has every
single one of them been up a minimum of ____ percent, but they're also all still in
business today. What I'm trying to explain to you is the reason why you're opening
this account is to see if I'm right. Because I can't call you up in a month to get
you involved in my next IPO unless you're a client of mine. Let's go with a base
hit today, and when my next IPO hits, you and I will then swing for the fences. For
now, work small, and I'm telling you, I won't let you down.
I DON’T LIKE THE MARKET/1

I don’t like the market either. I agree with you. Let me ask you something. What do
you do for a living? Why do people do business with you? That’s why people come to
______ and do business with us, because we are experts. I’m not asking you to buy
_______ shares of ____. I’m asking you to buy _____ worth of _______ brains.

Look—what do you think is going to happen when this market turns around? What will
happen to everyone who has waited on the sidelines? What do you think they get?
Mediocre returns. I’m not interested in mediocrity. I’m interested in major
percentage gains. So let’s take a position right now. The number of shares is not
important to me—I’m asking you to give me your confidence.

The profits from these levels should be very significant. Profits from near the top
will be very small.

How often have you wished you’d bought while others were selling?

I don’t like the market either. But I’m not asking you to buy ____ (Market) calls,
am I? I’m asking you to get involved with a special situation that regardless of
what the market does should trade higher. And if I’m wrong, and it doesn’t, that’s
why we’ve got downside protection.

Obviously anyone can make you money in a bull market, so the last thing you need is
a bull market broker. But, if I can show you something in a bear market when
everyone is hiding under their desk, I can be a valuable asset to you on Wall
Street. Give me 30-90 days in any market, and I’ll show you exactly what I can do
for you

Very rarely do you see 5-10 points on such a conservative idea ...
Let me read you a quote from the most successful money manager of our time, Sir
John Templeton “you must do something different from the majority. The time of
maximum pessimism the time to buy, and the time of maximum optimism is the time to
sell! Therefore, the only way to find bargains is to buy what most people are
selling. Profit is made by focusing on value, not outlooks or trends.”

We have been speaking about optimum value both in the company we’re buying and the
relationships we’re entering.
I DON’T BUY INDIVIDUAL STOCKS OR BONDS. I ONLY BUY MUTUAL FUNDS/1

That’s fine, and some time in the future I would love to discuss some particulars
with you in that arena. However, what that statement really means to me is that,
after a fair amount of searching, you have never found someone in my business that
you feel you can really trust! True? Let me ask you a question: does the idea make
sense to you? Do you like the idea?
Your search has ended. My goal is for this to be the best relationship you have
ever perceived of having in the market.
STOCK DOWN/1
Rule #1: Don’t follow the stocks on a day-to-day basis. That’s the most important
thing. I’ll let you in on a secret ... your stocks are going to go up and they’re
going to go down. When they’re up, you like it and you like me. When they’re down
you may not. If a company goes up 30% the day after we buy it, it doesn’t mean I
was right about the long term, and if it’s down 30%, it doesn’t mean I’m wrong. The
truth is—if you’re smart you focus on sales, earning and cash flow, and you begin
to realize that day-to-day, or even month-to-month fluctuations don’t always
reflect reality.
STOCK AT OR NEAR ITS 52-WEEK HIGH/1

It’s been proven that stocks trading at their highs tend to make new highs and
stocks that are at their lows tend to make new lows.
I DON’T BUY STOCK THAT HIGH/1

Some people think that it’s easier for a $10 stock to go to $15 than it is for a
$100 stock to go to $150. Reality is the exact opposite. A stock is at $10 for a
reason, and so is the stock that’s at $100.
MARKET TOO HIGH, LOW, VOLATILE/1

_________, we’re not talking about investing in the entire market. We are talking
about one company which we have studied very carefully, and which we consider an
incredible opportunity right now. I’m sure you’re aware that not all stocks follow
the general trend of the Dow, especially growth stocks, wouldn’t you agree?
MARKET TOO HIGH, LOW, VOLATILE/2

The way to make money in the stock market is to buy low and sell high. That’s a
widely used and simple statement. However, most investors who wait for a good
market miss the opportunities, which occur when the market is down. Adverse and
volatile markets have often presented the best opportunities for gains.
MARKET TOO SPECULATIVE/1

_______, my philosophy is to take a conservative approach to speculation. I try to
focus on issues that have met certain criteria:
1.! The stock must have unlimited upside potential with limited downside risk.
2.! The company must have the ability to grow almost independently of the general
economy and market conditions.
3.! The third, but most important criterion: The company must be relatively unknown
to Wall Street.
Because, __________, I think that you'll agree with me, once everyone knows about
the situation, the big money has already been made.
MONEY, BROKERS NOT MAKING/1

These days you have to sift through a hundred brokers until you find one that
consistently makes you money. Believe me, I know exactly what you're going through.
Plenty of my clients had gone through the same thing before I came along.
TRACK THIS ONE/1

Again, excellent strategy, but understand this, I’m not some wire house like Big
Broker or Bigger Broker, who’s going to call with a flavor of the week. I deal with
4 or 5 core recommendations a year. Are you going to have a problem with a broker
who’s going to call you up to 5 times a year to buy a stock? OF COURSE NOT!
WATCH STOCK/1
_______ let me say this, watching a stock go from _____ to ____ is a worthless
academic exercise. Nobody makes money watching stocks. _______, we both know that
the only thing that will establish a track record for me is a buy confirmation at
_______, and more importantly, a sell confirmation at _________.
WATCH STOCK/2
I can appreciate that, ______ but the fact is this, you’re a busy guy and I’m a
busy guy. Chances are there are a hundred stocks out there you should be watching.
We both know you barely have enough time to watch the stocks you do own much less
the ones you don’t. Let me say this (sell three tens, then ...) and that’s why I’m
telling you; let’s track the stock together, with my name and your name down
together on paper. Start small, crawl before we walk, walk before we run. So do
this ...
WATCH STOCK/3
Let me ask you this. How many calls do you get from brokers a week? So that’s about
____ calls a month. I’m asking for 90-120 days. So that’s about _____ calls and
recommendations over that time frame. Honestly, do I sound that good, or do you
like this idea that much, that this is the only company you’re going to be
watching? I have to believe you’re too busy for that. If you’re watching all these
companies, who’s looking over your business. How are you making money? Understand
something; all I’m looking to do is place you alongside some of the smartest money
on Wall Street ...
WATCH STOCK/4
_______ I can appreciate the fact that you like to watch the stock. However,
honestly speaking, let’s face the facts. You barely have time to watch the stocks
you do own, let alone the ones you don’t.
WATCH STOCK/5
You probably have 100 stocks out there you’re supposed to be watching as we speak.
Fact of the matter is, the only way you’ll watch it is if you own it.
WATCH STOCK/6
I could give you a couple of stocks to watch, call you back in 8-10 weeks and have
you open an account then. However, any rookie broker can bring you stocks that go
higher, just like any professional can bring you stocks that go lower. Even when my
stock works out, you still don’t know me any better than you know me right now.
That’s why we start out small and get to know each other. Let me say this ...
WATCH STOCK/7
Let’s just say this stock does go to (target) like I think it will. Does that mean
you’re going to jump blind into my next idea? Of course not! You know the saying,
“Past performance does not guarantee future results.” You need to judge each one of
my recommendations on its own merits, not on those of the recommendations that came
before it!
WATCH STOCK/8
Watching stocks is worthless academic exercise. Nobody ever makes money by watching
stocks. All that allows me to do is say “I told you so” and that’s not my style!
The only things that will build up your confidence are a buy confirmation at one
price and sell confirmation at a higher price.
WATCH STOCK/9
You don’t have to watch it; you want to follow my advice. You want me to make you
follow my advice and perform for you.
WATCH STOCK/10
Let me say one thing to you; I’m not a supermarket. I don’t pick a stock-of-the-
day. That’s not the type of program I run over here. When you say you want to watch
____, watching______ go from $___ to $___ doesn’t put any money in your pocket.
Now, as far as the size of the trade, believe me, it will always be up to you. I
don’t know how deep your pockets are, but if they’re deeper than 3 inches, there is
no question that, I think, you should get involved in this company.
WATCH IT/11
I want you to watch, but I want you to watch in and out. The stock right now is at
_______. If it goes to _____ by the next time we speak, it could be right back to
______, maybe even lower, then you’ll tell me I gave you a loser. Give me the shot
in a small way, so you can judge me in and out.
FOLLOW IT/1
Following the stock is useless and you’ll never track it as closely as the ones you
own.
FOLLOW IT/2
Too many brokers call you, and you certainly can’t follow every recommendation ...
even though you honestly thought you would. Am I right? Of course.
FOLLOW IT/3
I just called a gentleman to whom I recommended _____ at __$____ ____#of weeks___
ago ... the stock went to ____ in ____ weeks, and he didn’t even remember my name.
Now he’ll never begin that relationship he’s been looking for with a broker... for
years.
Follow it as an owner... work small now, and when I’m exactly correct, then we’ll
work in size.
TALK TO MY WIFE/1
I’m sure you make a lot of important decisions every day. Decisions that you
couldn’t and wouldn’t consult your wife on, and she’s okay with that because she
trusts your judgment, right? Now, if this was about transferring your entire
portfolio or taking a million dollar position in ____, that would be one thing, but
that’s hardly the case here. What we’re talking about is giving me an opportunity
with less than 1% of your assets to show you that I deserve to handle the other
99%.
TALK TO MY WIFE/2
Let’s face it. If you go home and tell your wife that you want to invest with a
broker whom you don’t know very well, chances are you’re getting hit with a frying
pan and spending the night on the couch. However, once she sees the brochure on my
firm and the dossier of information that I send you in that Fed- Ex package, c’mon
what do you think she’s going to say? Besides, it’s a lot easier to beg for
forgiveness than it is to ask for permission. Right?
TALK TO MY WIFE/3
Excellent strategy, I’m sure you would agree with me. If there were more
individuals like you there would be a lot less divorces out there. HOWEVER, this
isn’t a major decision. We’re talking about a minor decision. If you were to put 5-
10k into this idea would you be sleeping on the couch? That’s why I’m asking you to
work so small on # of shares.
TALK TO MY WIFE/4
Excellent strategy. However, if I were telling you to take 100,000 shares by all
means I’d be the first one on a plane. I’d put my arm around and your wife and we’d
rip apart the balance sheets. However, we’re not at that level here. We’re talking
about a schoolboy trade # shares. For now do # of shares, speak to your wife and if
she decides to take more, over the next week providing the stock doesn’t run away
from us. I’ll do that for you commission free. FAIR ENOUGH!!
TALK TO MY WIFE/5
Let me say this, your business is _______ am I correct? _______, if I came to you
with cash in hand, would you have to call your wife to ask her if it's okay.
TALK TO MY WIFE/6
________, I’m calling you today because you’re a successful individual. Your
success is the result of making the right business decisions over the years, am I
correct? I’m sure your wife respects your investment decisions.
TALK TO MY WIFE/7
Well, let’s do this, let’s pick up _______ shares, and when your wife finds out
what a great opportunity the ________ is, I’m sure she’ll want the other ______
shares. ________ is interested in starting a relationship with successful decision
makers like you.
REPORT, SEND/1
___________ does not mass mail reports to ten thousand people across the country.
By the time you receive one of those pre-packaged reports, the printer has read it,
the printer's family has read it, and the stock has risen 4 or 5
points. We prefer to accumulate our stock quietly before anyone else recognizes the
value we see.
REPORT, SEND/2
I'm sure you know when _____ sends out a report, it tends to have a beneficial
effect on the price of the stock. We prefer to accumulate our stock quietly before
anyone else recognizes the value we see. I want you to own ____ at the current
price before it moves out of our buying range.
REPORT, SEND/3
What are you looking for in a report? What questions do you have? I will be glad to
send you a report. But it will just flow over your desk. I’ve seen it happen.
You’ll delay your investment decision until the opportunity has
passed. Our single most important asset is our reputation, and the fact that
wealthy people in America have trusted us for over _____ years. While we’re
aggressive with some of our capital from time to time, we never gamble with our
reputation. Before we come to you and tell you what I've just said about ______, we
spend months and hundreds of thousands of dollars to make sure the company does not
embarrass us.
INFORMATION, SEND ME/1

Let's face it, last year's balance sheet and corporate report is not what's going
to convince you to buy this stock. That's why the stock is trading at __________
right now, on the fundamentals of how the company did 8 months to a year ago.
What’s going to take the stock to 75 short-term is because of what's going on right
now.

If I thought we had the luxury of time in a situation like this, I would’ve called
you the last few Sunday afternoons at your leisure. The guys that do call you back
and "discuss ideas” 3 or 4 times, after sending you information packages that you
file under "g" most of the time, those are the same guys that'll show you 5 to 10
percent on blue chips, some of them might show you no performance at all, and some
might even lose you money. I’m not that guy. We're both very busy.

By the time you get done reading the corporate report, we could be chasing the
stock up 5 to 7 points. I know that doesn't mean much to you, but it means
something to me. I'm not a discount broker. I'm asking you to work with me on my
pricing and timing. Reaching for it a few days from now, or whenever you feel like
getting back to me, is going to be more risky and expensive than taking a position
at this level.

_______, I am your information! That's why you retain me, to read between the
lines. We've already done hundreds of hours of research on this stock, because you
don't have time to read 50-page reports on fundamentals on the last few years of
this company's history. You probably have 20 other things on your mind as we speak.
Everything you need to know and think about we've already thought about. I've done
5 months’ worth of research on this company before I started putting my clients
into it. All the technicals and fundamentals are in your favor more than ever
before.

__________, How much junk mail do you get a day? What're the chances you're going
to take an hour out of your busy day of running a multi-million dollar company to
read about a stock you don't even own from a broker you don't even know. You
probably don't follow half the stocks you already own, much less read about them in
detail.

If I was asking you to own 5 or 10k shares of a pink sheet bullshit company with
negative earnings, I’d tell you to hang up the phone, call your local broker, and
short the stock. I wouldn’t expect your business. I’m bringing you a 60-year-old
billion dollar company on the verge of a landmark FDA approval. On just_______
shares of a company like this, we both know the only reason I’m on the phone with
you is to start a relationship based on winners. It really is that simple.

________, a box full of information would have already been there if I was opening
up an IRA account for a 70-year-old man or a long-term trust account. I would have
come down there and discussed a detailed history of the company, and outlined a
plan of holding this stock for the next 5 or 10 years. This is a very conservative
stock and might even warrant that type of situation. That’s not the case here. I'm
basing a relationship on the performance of this stock over the next two months.

When was the last time you got a recommendation from a broker, asked for
information, spent hours reading it, then called him back a few days later and
bought the stock? Chances are you never did it. Even though you wanted to read it,
and had every intention of calling him back, you were running your business and had
many more compelling things on your mind. You never did it in the past, and you're
not going to start doing it now. Because you know that’s not how you make money in
the stock market, by reading general background information about an established
company. We both know that buying before the stock moves is the only thing that
matters. I haven't been in this business this long by having my clients read
outdated information after the fact. It's frustrating, and it does not work. _____
is ready to move, and I’d rather you own less stock at the right price than more
stock at the wrong price.

What specifically do you want to know about this company? I've done 5 months of
research. I can't lie about the fundamentals. What's going to be the difference if
you see this in print? Boring corporate reports only contain detailed fundamental
information. They don't contain the information that excites us, and what usually
takes the stock to much higher levels. That's the type of information you don't
read about until after the fact. And that's what's going to be hitting the tape
over the very short term.

What you’re really telling me, _______, is that I haven’t given you all the
information that is necessary for you to make the decision today. What specifically
do you need to know? What exactly is it that you want to see?

What is it you do for a living? If you’re doing my job who's going to do yours?
That’s what you hire a broker for. Take my lead, do the _____ shares and my
commitment to you is I will not call you back for another nickel of your hard
earned capital until _______ trading is up. FAIR ENOUGH?!

I will do that, whether you buy or not, but let’s face it, you could like the
information and the stock could still go down. On the flip side, you could dislike
the information and the stock could still go higher, am I right? (Pause) I want
your confidence this one time and as time goes on I’ll never have to ask for it
again.

I could probably send you enough information to choke a horse, quite frankly, and
luckily, we’ve looked at the income statements, and fundamental and technical
factors. We’re not a supermarket of stocks. This firm follows a business plan, and
that plan is to work small in the beginning and, over a series of winners, work
bigger and better.

_________, we both know that timing is critical. If we pick up _______ shares now,
I’ll have Fed-Ex on your desk tomorrow morning with all the information of ________
in black and white, so that, before you send a dime, you’ll have all the facts.
Fair enough?

I will do that, whether you buy or not, but let's face it, you could like the
information and the stock could still go down. On the flip side, you could dislike
the information and the stock could still go higher, am I right? (Pause) I want
your confidence this one time and as time goes on I’ll never have to ask for it
again.

It’s not the info I can send you; which I will of course—You’re just not
convinced... let me re-introduce myself...
By the time the information hits your desk, it’s probably in the garbage and the
opportunity is most likely lost.

I once heard a story about a Gold Mont Blanc pen... A few years ago, a manager gave
a broker a Gold Mont Blanc pen. He told the broker to use it the next time someone
called him back to buy a stock. Two years later it was still in the case.

I could send you enough info to choke a horse...

I could be like everyone else that you hear from on the street but:
A - That’s the easy thing for me to do
B - You don’t want a guy like that working for your money; at least I wouldn’t!

You want someone aggressive and decisive, someone who knows what they’re doing,
that can put you into the market at the right time and more importantly, take you
out at the right time and hopefully put some money in your pocket in the process.

You and I both know how this industry works, I get one shot to make you money, if
I’m right, I’ve got some credibility, and if I’m wrong I usually don’t get a second
shot.

I'm willing to base any future business relationship that we will have together on
this one trade. I'm willing to work small and discount my fees to the minimum. ASK
YOURSELF-- WHAT'S MY MOTIVATION?
FAX INFO/1
I could fax you enough information to choke a horse. However, that’s what you hire
me for. My analysts have been ripping apart this company’s balance sheets for the
last 6 months. In order for you to make an intelligent business decision you’re
going to have to research this company for at least that long. The research has
been done, that’s why I’m on the phone with you right now.
RESEARCH/1
(Go Into Self)
Information Reb.
Let me ask you this:
For how many years have you been investing? Okay so I’m not going to teach you
anything that you don’t already know about stocks. You know as well as I do, that
you could look at a report and like what you see. That doesn’t necessarily mean the
stock is going higher, and on the flip side, you could look at a report and hate
it, well that doesn’t mean the stock is going lower either. What’s important here
is getting involved before the institutions start running this stock.
RESEARCH/2
That’s great, but let me reiterate;
There’s nothing you’re going to find about this company that my research staff
hasn’t already found even if I spend extensive time and money researching this
particular stock. Like I told you before, I’m a Financial Consultant. I don’t come
to you with an idea every other week. Respect me for that. I call my clients 5 or 6
times a year with a core recommendation only after I’ve spent extensive time and
money looking into the company. Anything you want to know about the company, if I
can’t answer it, don’t buy the stock. I do this for a living. You know your
business. I would never try to tell you how to run your company, but believe me,
this is my area of expertise. I want you to own the stock on my pricing and timing,
and my research. That’s why my client’s retain me. The time it’s going to take you
to research this company only to find out what I already know, you’re going to pay
higher for the stock. Own the stock here, give me the shot to show you what I’m all
about, give me 60 to 90 days and believe me, you’ll be very impressed.
RESEARCH/3
________, I appreciate the fact that you want to research this idea. If I were
asking you for $50k or half your net worth, I would almost believe you. I'm asking
you for a small vote of confidence on a limited time frame to show you I'm worth
your time. Give me a shot.
SEND REPORT/1
________, do you always read a report before you a buy a stock?
SEND REPORT/2
_______, I can appreciate why you want a report ... to get more specific
information, am I correct?
SEND REPORT/3
________, I’ve got a due diligence file available. What information, specifically,
are you looking for? Annual report, 10k, 10 Q, proxy statement, S&P, value, line,
etc.?
SEND REPORT/4
_________, how recent do you think that information is? That’s yesterday’s news.
SEND REPORT/5
_________, what we’re doing here is coming to you with a buy recommendation. Our
top analyst put together a detailed analysis of _________.
SEND REPORT/6
_________, we don’t operate like a wire house, we don’t mass produce reports. When
Big Brokerage House prints a report, it takes time at the printer; it takes time in
the mail; and it sits on your desk ... if it doesn’t wind up in the circular file.
By the time you’ve gotten around to reading it, on average, the stock has moved and
the opportunity may be gone.
SEND REPORT/7
Honestly, you’re probably too busy to read research.
SEND REPORT/8
________, we want to bring you performance, not inundate you with information. At
_____ we work on strategy of building positions quietly. We don’t want everyone on
the street to know what we’re buying. We want to make you money and buy _______ at
no more than $______, before it moves out of our buying range.
BROKER/1
I realize you have enjoyed a long-term relationship with your present broker, and
it's my goal to establish that same kind of relationship. Put me in competition
with him, and down the road, based on performance, you can make the decision who
you want to invest with heavily.
BROKER/2
I'm sure your goal is to maximize your profit potential, isn't it? __________,
the most astute investors understand that diversification is the key to
success. What I'm suggesting, __________, is for your own financial well-being, you
need another perspective; and I can provide that prospective for you.
BROKER/3
Good, because I prefer to work with qualified investors.
BROKER/4
I think you’ll agree that no one broker has a corner on the entire market.
TALK TO MY BROKER/1
You know what your broker is going to say even though he hasn’t studied this
company for the last 4 months like I have? It’s not a bad idea but I’ve got
something else for you. It could be the greatest thing since sliced bread, your
broker’s gonna turn you off. Or, he’ll say look, if you like it so much buy it
through me. This way he gets a commission and a winning idea added to his track
record. That’s not what we’re all about.
TALK TO MY BROKER/2
Asking your broker about me is like asking your wife about your girlfriend.
TALK TO MY BROKER/3
You are probably judging your broker on 10 to 20 positions. I’m asking you to judge
me on 1 position. At the end of 90 days, you’re either going to work with me bigger
and better in size, or you’re gonna take my card and file it in that round file on
the side of your desk. I realize that, my worst nightmare is to lose money for my
clients. I’m risking a 10-year relationship on this one trade. But if I’m half
right, you’re going to want to work bigger and I’ll want some referrals from you.
But only after I’ve earned it. Fair enough?
TALK TO MY BROKER/4
I don’t want to be your local broker, I’m not going to buy you CD’s, I’m not gonna
handle your retirement money. This is what I do 5 or 6 times a year. I find a
situation with a huge upside that I feel can make you money. I’m not asking you to
fire anybody, but I can make you money. (BE HUMAN) I’m a great guy and I’m a great
golfer, but I’m a business man, I know everybody calls you for money, I’m not
looking for the majority of your money. (CLOSE)
I HAVE A FINANCIAL CONSULTANT/1

We had to assume that you were working with one or more people and I’m certain
you’re in good hands. However, I’ve got to believe if we can increase your net
worth by an additional $_____, for your other advisor to invest, he’s not going to
be too upset and neither are you! When you do invest...
I HAVE 9 BROKERS AND YOU’RE THE 3RD PERSON WHO CALLED ME TODAY/1
You are specifically the type of person we’re looking to work with. You are
obviously a value player, and because you’ve heard from everyone else on the
street, you’re someone who will really appreciate the ideas we bring to your
attention! When you do invest...
CPA/1
___________, my CPA handles my taxes and some other business for me, but I give him
investment advice. I'm the professional in this field.
IPO WRAP/1
____, have you ever been involved with an IPO?
YES (continue)
How did it work out for you?
NO
Was it because of lack of ability or lack of interest?
BAD
Well, as you know, the right ones tend to be very lucrative
My firm, _____ has been involved with some of the most lucrative IPO’s on the
street. The last deal that we did, a company by the name of _______. We got our
clients involved in it at ____ dollars a share with warrants attached last summer.
In ____ it opened up at _____ by _____ the stock traded as high as _______. That’s
____________ % in a matter of a few months, just imagine what sort of an impact
that can have on your portfolio. My senior broker will get into that with you.
I’VE BEEN BURNED BEFORE/1

The reason why you’ve been burned is because you probably invested in companies
that you knew nothing about with no earnings or revenues. If I came to you with
some penny stock losing $5 a share, do you know what you’re supposed to tell me?
“Get the hell out of here!” That’s not the case here. I’m coming to you with
______, earning $___ a share on $___ in revenues.
I’VE BEEN BURNED BEFORE/2

Law of averages states you’re going to have to sift through hundreds of brokers
before you find those 1 or 2 guys; who will make you money on a consistent basis. I
pride myself in being that guy; the only problem is you don’t even know it yet.
That’s why I’m asking you to work so small. For now judge me on % gains on # shares
and don’t ever make me work so hard on such a small trade.
THIRD PARTY STORY/1

You sound like one of my biggest clients out there. In fact, he sent a broker 1⁄2
mil on the first trade and next thing you know, the things worth nothing. That’s
why he’s dealing with me today because I’m one of the best in the business, in fact
you probably get some of these calls when a broker calls you up and asks you for
100k. Just for future reference, whether you open an account with me or not, don’t
walk away from these guys, you run away from these guys. That’s why I’m willing to
work so small. Wouldn’t you agree? Best relationships are built in a small way.
I DON’T FEEL COMFORTABLE/1

That’s why I’m asking you to work small. I’ll sit here and hit you singles for as
long as it takes, whether it be 1 year or 2 years. It makes no difference because I
know for a fact there will come a time when you’re going to want to step up to the
plate and swing for that home run.
COMPETITIVE ACCOUNT/1
Great! Sounds like you have a money tree growing in your backyard. If another one
pops up are you going to cut it down? (NO!) Exactly, this is what we’ll do. Set up
a competitive account alongside your best brokers out there. Over the next 30 days,
if I don’t absolutely blow them out of the water and I’m not talking about a couple
points. We’ll close the account. But when you do see I’m the best broker out there
percentage wise, start closing out some of these non- performing accounts. All I
ask is that you start sending that equity to the guy who’s making you the most in
the market.
CREATE WEALTH/1
______, it’s been proven over time there are very few people that have the ability
to successfully trade stocks on a short-term basis. The fact is the vast majority
literally takes at least a year.
CREATE WEALTH/2
The most successful investors, like _________ _________, buy companies they like
and hold them until all fundamentals have fallen into place. This is where real
wealth is created. This is exactly why more wealth is created in retirement and
pension accounts than in any other type of account—because of the long- term
approach, not short-term greed.
CREATE WEALTH/3
_____, the more money you make, the more you spend. The only way to get rich is to
build equity. That’s our approach – build equity and create wealth.
TALK TO PARTNER/1
_____, I don’t have the luxury to ask for a corporate account. Open up a personal
account, small, when I show you a buy confirm at _____ and a sell confirm at ____,
guess what? You’ll tell your partner about me and we’ll open up a corporate account
and work bigger down the road.
PUSHY/PRESSURE/1
Listen; if you had something in my best interest, I’d hope you’d be as adamant as
I’m being right now.
SELF/CLOSE/1
________, if I was in your office right now, and I told you I could increase your
productivity 30 to 40 percent, and all I asked was that you paid me ______ for
_____ days. And if I did not increase your productivity by the ______ day to fire
me, is it fair to say I’d have a job?
(Yes) That’s all I’m asking you to do today. Work with me here small. Give me the
_____ days, and the next time, you’ll be the guy who suggests we work in size.
Titling the account is a very simple process. I’ve got most of the information here
to title an account.
SELF/CLOSE/2
Do you consider your broker as part of your business plan, as part of your net
worth? My clients consider me exactly that, because after 2 or 3 trades, they begin
to see the returns that they always wanted to get out of the market. Include
yourself in a circle of people who consistently make money in the market. I’ll
title the account under your name. Are you going to be in the office in an hour?
SELF/CLOSE/3
I am not some penny stock, 18-year-old bringing you the cure for cancer or some
crazy idea. I’m _______ years old; I’ve been in the market for ______ years. I
could have called you a week after we first spoke with some bullshit stock with a
huge credit to generate a commission for myself. No, I waited until I had a
situation I was totally convinced trades higher. My commission will come after my
performance warrants it, after I’ve shown you a series of winners, and you feel
comfortable, and you start working in size.
SELF/CLOSE/4
Now, I’m a huge broker, I’m well respected by my peers. I work on 4 or 5 carefully
selected positions throughout the year. I make a fortune for my clients I’ve told
you; my contacts on Wall Street are extensive. _______ will go to ______ with or
without you.
SELF/CLOSE/5
Now, I realize your other brokers aren’t making you money, but don’t hold that
against me.
Do this: pick up a block of ___ shares, give me 4 to 6 weeks, you analyze your
percentage gain over that time period, and believe me, you’ll be very impressed.
What do you say?
SELF/CLOSE/6
When ____ goes from ______ to _______over the next
_______with_____ shares, you’ll make _________________. ________________, I gotta
believe that would go a long way toward building a relationship between you and me.
Now, I will work with you for whatever you're comfortable with. The size doesn't
matter. The only thing that matters to me is to have the opportunity to show you
_________ timing. I'm looking for a small vote of confidence from you. Let
performance be your guide. You’ll be impressed with the results. Would you give me
an opportunity to start on the basis of ______shares?
SELF/CLOSE/7
I’m a nice guy and a great broker, but the bottom line is I know how to make money
in the market.
SELF/CLOSE/8
I’ve made a small fortune for a select group of individuals for many years. While
your downside risks look to be a few hundred dollars, your upside potential is not
the few thousand you stand to make here, it’s establishing a relationship with a
huge broker on Wall Street that can make you a lot of money, not overnight, but
over a period of time.
SELF/CLOSE/9
I could be a tremendous asset to you. I think you can agree with me, _____, that
having a broker on Wall Street who can make you money on a consistent basis is a
very valuable commodity few people can live out. ____, I can assure you that this
one trade will not change my life in any way.
SELF/CLOSE/10
But it may very well change yours. To open an account is a very small decision, yet
it could be the biggest one you’ve ever made.
SELF/CLOSE/11
______, please excuse my persistence, but this is why my clients retain me. I
scratch, I claw, I kill for 1/8s and 1/4s. It may not seem like much when you’re
talking about a couple of hundred shares, but when you’re talking about 30, 40, 50k
shares, 1/8s and 1/4s are dollars in your pocket. Now, anyone you’re dealing with
should, I emphasize should, be able to take $50k of your money, put it into a blue
chip, turn it into $60k, give you a $10k profit, and a measly 12 1⁄2 percent return
on your money.
That’s not what I’m looking to do here. I’m looking to tap you into my program, get
you involved with one of my IPOs, _________, have the stock go from 5 to 10 or 15,
take that same $50k and turn it into $100, $150k.
That’s when I’ll have an impact on your net worth. Not overnight, but over a period
of time and a series of successful trades ____, if you knew, I mean really knew,
who I was, you would be picking up 20k shares.
Here’s what we’re going to do. We’ll go with the firm minimum_____ shares. If the
stock doesn’t do exactly what I say it will do, call me up and fire me as your
broker. I’ll sell out the account and have your money sent back. But when I’m right
with ________ and I’ve shown you a couple of winners, you tell a couple of your
buddies about me and we work in size. I’m titling the account in your name and
getting the confirmation out ______.
SELF/CLOSE/12
I'm a successful broker, and I make a very good living. Do you know why? It’s
because my clients are successful. They are successful because they listen and move
on my recommendations. And more importantly, I guide them out at the right time.
SELF/CLOSE/13
I’m telling you right now, I’m convinced that _______ trades higher and it goes to
_____, without me and without you. There is no way I am letting you miss this one.
I don’t care if it takes 6 months for you to become liquid after a ______ share
trade goes from ______ to _______.
SELF/CLOSE/14
All I want is one shot to make you money. Give me 45 days to prove to you that I’m
right and you’ll be a client of mine for the next 10 years.
SELF/CLOSE/15
I’m completely convinced _____ is going to be a big score for my clients. _______,
I can’t guarantee results, and I wouldn’t do that! What I can guarantee you is a
level of professionalism and an approach to this business you haven’t seen
elsewhere.
SELF/CLOSE/16
I didn't get to my present position by being wrong too often or by working on small
trades. I know if the stock doesn’t perform the way I say it will, you're going to
call me up and fire me as your broker. Am I right? Of course. I'd expect you to. On
the other hand I also know that if I show you a buy confirmation today at
___________ and show you a sell confirmation at _____ 60 days from now, I know
you’ll be a client of mine for life.
SELF/CLOSE/17
Give me 1 percent of your confidence and trust, and I'll earn the other 99 percent.
SELF/CLOSE/18
I buy stocks for fundamental reasons. If a technical factor comes along that tells
me to sell, I'll sell the stock short term at a profit. If the stock backs down a
little and I feel it’s right, I'll get back in. But, unless you have blocks, 5, 10,
20k shares, the only one making money buying and selling is me. My commission in
and out of the stock and back in again is going to offset whatever gain you have
unless
you work in size. That's why the average investor never makes money.
SELF/CLOSE/19
I assure you, I am not your traditional stockbroker, coming to you with the pick of
the day... I have a philosophy about the market. Look for the investments in
fundamentally sound but undervalued companies that are trading below their real
value. I will not and cannot achieve substantial results by selecting stocks that
are up 30 or 40 percent at their all-time highs, looking to trade higher. That's a
fool's theory, the sheep's theory. It's the smart investor who buys stock at the
wrong price when no one else is looking at it. We’re buying companies, not stocks!
We’re taking a fundamentally sound situation and timing it with a near-term
catalyst to propel the price higher, in this case _______.
SELF/CLOSE/20
One of the reasons why I have so many clients is because I’m able to get that extra
1/8 to 1/4. I didn’t call you two days ago, and I’m not going to call you two days
from now. I’m calling you today because I feel the stock trades higher today and
substantially higher over the short term, my sense is 2 to 3 weeks. Do you know how
great you’ll feel when you see this stock at ________? Not because you’ll make a
lot of money, but because you made the right decision and you found a broker who
knows what he’s doing.
SELF/CLOSE/21
The most valuable commodity anybody can offer to you is information. I am telling
you that my firm’s sources and connections on Wall Street are some of the best on
_____ and on other LBOs, acquisitions, and private placements. I can substantially
increase your net worth down the road. I propose we work relatively small on our
first trade, use a stop loss to limit your downside to ____, and to put you at
ease. I am offering a blue chip company. You know my commission is insignificant. I
will even lower it below any discount brokerage rate in the country. I’m obviously
very confident in what I’m presenting to you and find it hard to believe a wealthy
investor such as yourself wouldn’t take me up on my offer.
HESITATION, REAL CONCERN/1

_______, let’s put this in perspective. All we’re trying to do is build a
relationship based on confidence and trust. I’m just looking for the opportunity to
make you some money. We’re on the same side of the fence. Do me a favor, level with
me, what’s holding you back? What’s your real concern?
HESITATION, REAL CONCERN/2

______, if you weren’t completely convinced I had your best interests at heart, I
wouldn’t want you to buy a stitch of stock. If I couldn’t answer any question about
this situation, I wouldn’t want you to buy a stitch of stock. I challenge you to be
able to duplicate the value and risk/rewards we have here with ______. I’ll show
you a level of professionalism and an approach to this business you haven’t seen
elsewhere. Work with me now, you’ll be very impressed.
FIRM/1
We’re not Big Brokerage House, Global Trading Company, and Transnational Bank. We
don’t make 1,000 recommendations a year. We make 5 to 6. And in the past, when
we’ve done this, we’ve been mostly right. In the case of ______, we believe we’re
exactly right. We’re analyzing the balance sheet, fundamentals, cash flow,
earnings. We’ve ripped it apart with a fine toothcomb. Based on earnings, the stock
should be...
FIRM/2
Don’t misconstrue my enthusiasm for salesmanship. Let me tell you the real reason
I’m on the phone with you. It’s not about stock. You can always go to your local
broker and buy stock. You have to get involved with me now for what I can do for
you over the long term.
FIRM/3
We’re one of the most powerful investment banking firms in the country. When you
invest with _____, you’re putting your money next to the biggest money on Wall
Street. I’m sure you would agree that big money is smart money, and even when it’s
not, it’s usually enough to fuel the market in your favor anyway.
FIRM/4
_________, I can offer you a window into the world of investment banking
and access to our extensive institutional and brokerage community relationships.
FIRM/5
The bottom line here is this: _____ is a boutique. We have a niche in the market
that has been making a fortune for a select group of high-net-worth individuals
like yourself, for years. Multiples on their money (not 10 or 20k but 400, 500K,
1M) we don’t deal with the average investor, we deal with wealthy men who know how
to take risks, but calculated risks. And we limit the downside by analyzing the
fundamentals of the company (earnings, assets, balance sheet). More important than
that, _____, is showing you performance. Let me ask you a question. If we pick up a
block of ____ shares—since liquidity is a factor—and I’m totally wrong, are you
going to be receptive to my next recommendation? Let me ask you another question.
If we pick up a block of ____ shares, and I’m totally right, do you think you’re
going to want me to listen to my next recommendation? Exactly. If I’m right, I have
credibility. If I’m wrong, I don’t get a second chance.
FIRM-PRIVATE PLACEMENT/1
Dealing with my firm means getting a window seat to the private placement world,
the most lucrative area of the market. Do you know what that is? It’s when you
invest in a company before IPO. My last private placement for my clients was of a
company called ______, (description of company). My clients saw _____ times their
money.
FIRM-SMALL CAP COMPANIES/1
_______, these small cap companies we bring public are in the 5 to 30 million
range. We’ve got them coming to us. I know these companies like you know your own.
That’s how I’m able to affect my client’s net worth on just 3 to 4 major situations
a year.
CALL BACK/1
Look, any broker can give you a recommendation to buy a good company. However, you
find me a money manager who can buy you a good company at the right price. That’s
the difference between me and the rest of Wall Street. That’s why only 2 percent of
retail investors actually make money in the market. Let me say this ....
CALL BACK/2
_______, your intention will be to get back with me. But from experience, I know
for a fact that the last thing on your mind will be ________. You and I both know
on _____ shares of _____, if you end up paying up 2 or 3 points, which is likely
scenario on _____ shares, it’s not the end of the world, because it’s only a couple
of grand. However, down the road, when we’re working in size 30, 40, 50,000- share
blocks, these 2 or 3 points will add up to hundreds of thousands of dollars. That’s
when my ability in exact pricing and timing comes into play.
CALL BACK/3
Let me explain something to you. A good relationship does not start with a client
calling his broker back. Look, I would never insult you by attempting to tell you
how to handle your business. I’d be out of my mind. That’s your profession. That’s
why you’re good at it. For you to call back and tell me when to purchase stock,
you’re doing the same thing. You and I both know, _______, the market is all about
pricing and timing. Please, don’t tie my hands and take that away!
CALL BACK/4
The only problem with getting back to me on a situation like this is that the stock
has been trading in heavy volume. We’re waiting for an announcement, literally any
day now, and believe me; we’ll end up paying up for the stock.
CALL BACK/5
________, my job is to step into the market at a very specific price. To be honest
with you, to buy a good company is very, very easy. To buy a good company at the
right time, that’s not quite so easy. That’s why most people lose money in the
market. By opting to call me back, you’re working on your pricing and timing.
CALLBACK/6
______, your intention will be to get back to me, I know, but the last thing on
your mind an hour from now will be _______ at ______, and ____. I know this because
I’ve been in the market long enough to know. Why? Because you run a business, and
more compelling situations will be at the front of your mind, while _______ moves
to the back. The best time to make a decision, as you know, is when the idea is
fresh in your mind. I know you like the idea.
CALL BACK/7
The last thing you need is a broker who works on your pricing and timing. A broker
who works on call back is weak, someone who needs your business I’m not a
___________ ___________. I don’t need your business. I value it. And that’s why I’m
retained by presidents and CEOs of the best companies in the county.
CALLBACK/8
________, I don't take callbacks. I don’t work that way. I'm successful to the
point where I don't have to chase your business. Believe me, I've seen the people
who’ll chase your business around, and it's not a pretty sight. I'm moving
aggressively on this situation now, because pricing and timing are critical.
CALL BACK/9
We're on the phone now! We're both busy men, and we don't
have time to play phone tag. Do this. Own _______ shares now. Lock yourself in at
this price. If you want to increase the order after thinking it over, I’ll charge
you the same ______ commission.
CALL BACK/10
Let me ask you something. What more are you going to know about this stock that you
don't know now? ________, our firm has spent time and money analyzing every
fundamental and technical factor. Believe me, we have done our own intelligence.
It's a buy. This is like shooting fish in a barrel.
CALL BACK/11
Look, _____________don't be like the average investor. The average investor buys
slow and sells fast. He has lead feet and gets involved when the run has already
started.
(Prospect: “my friend’s in the industry of the company you’re recommending. I want
to ask his opinion.”)
CALL BACK/12
Okay, I’ll give you my home and cell phone #’s if you want. But you’ll never call
me back and it’s not because you don’t like the idea or me. Reality is that you’ll
put the idea in the back of your mind and forget about it. You’ve got a business, a
family, and more important things to worry about. What I’m asking you to do is let
me do the worrying.
CALL BACK/13
___________, you can call me back if you want to, but there are two things in this
business that I pride myself on and that’s my pricing and timing. I’m an avid real
estate investor as well, I’m sure you have some real estate. The key factor with
real estate is location, location, location. In this business, it’s pricing and
timing. If I wanted to call you tomorrow, I would have. I called you today so you
can take advantage of my level of expertise, my pricing, and timing. Without these
tools, I’m simply an order taker. You don’t need me. If you want to buy on your
timing, you might as well call __________ __________. The only reason you retain an
investment banker like myself is for pricing and timing.
CALL BACK/14
I know you have the best intention to call me back, but let’s face it we’re both
very busy, and you really don’t have time.
CALL BACK/15
We both know you’re not going to call me back. Not because you don’t like the idea,
I honestly believe that you do, but you’re running a business.
CALL BACK/16
All I’ll ever ask you throughout our relationship is to work on my timing; the size
is completely up to you. Always, but the timing ... that has to be mine.
CALL BACK/17
Look we’re both big enough not to have to run around after each other for a few
thousand dollars. I know you can make this simple decision right now. You’ve done
this plenty of times, but you’ve never come across a broker like me.
CALL BACK/18
You’ve never called a broker back, and if you did, that relationship failed.
CALL BACK/19
Let me ask you something. What more are you going to know tomorrow that you don't
know already? Whatever you need to think about we’ve already thought through,
_____. Our firm has spent time and money analyzing every fundamental and technical
factor. They are all in your favor. We've ripped apart the balance sheet, and based
on earnings, cash flow, and assets, this stock is undervalued. More importantly, I
have a philosophy of investing in the market, and that is to take a fundamentally
sound company whose value is not yet reflected in the price of the stock and then
tie in a near-term event, something to propel the price of the stock over the short
term, a catalyst, if you will. __________________ satisfies that criteria. And let
me say this. Whenever I've isolated a situation as unique as this, I've made money
for my clients hand over fist. Do this. Pick up _____ shares, an investment of just
_____. Hold this stock for 30 to 60 days, and I think the only problem you'll have
is that you didn't own more. Fair enough?
CALL BACK/20
If the market teaches us one thing, it teaches the difference between being nearly
right and exactly right. The people, who make money in the market, the (famous name
1), the (famous name 2), the (famous name 3), don't buy when the price is right,
but when the price is wrong. And believe me, at _____________ the price of
________is very wrong.
CALL BACK/21
You see, the reason for my call was to give you the advantage of our timing and to
be exactly right. By calling me back, you take this advantage away. And not working
on my timing will work against you. Work with me on my timing. Pick up the minimum
of _______shares, an investment of ______. We can always add to that position
later. But if you own some at this price, and judge me on your percentage gains,
believe me, you'll be very, very impressed. Sound fair enough?
CALL BACK/22
The best time to make a decision is when all the facts are fresh in your mind, and
by delaying, you simply restrict my ability to do my job. Let me say this ...
CALL BACK/23
The last thing I want to do is bump heads with a potential client. But the reason
investors consistently lose money in the market – it's not your broker's fault,
it's not the company's fault, it's not the stock's fault. It's the mentality of the
average investor, who doesn’t focus enough on timing.
CALL BACK/24
With all due respect, you’ll probably end up paying up for the stock. If you align
yourself here at _____, my sense is you’ll be taking the first step to becoming a
client for life.
CALL BACK/25
My clientele are the presidents and CEOs of some of the largest corporations in the
country. I don’t deal with every Tom, Dick, and Harry that wants to invest in
common stocks. I deal with people, who are serious about making money, and we don’t
work on callbacks. Now, without the risk of being forward, I would rather see you
own less stock at the right price than more stock at the wrong price.
1ST TIME, WHAT’S YOUR NUMBER (NEVER GIVE YOUR #)/1
Sir, I can give you my 800#, my fax #, my home #, but you’re not going to call me
back. You’re a busy man. You’re gonna put the idea in the back of your mind and
forget about (Your name) and (Stock). Let me say this (Continue the straight line)
I’LL CALL YOU IN A COUPLE OF HOURS (I’LL MAKE A FEW CALLS)/1

You know what? A few hours either way doesn’t make a difference to you or me,
maybe, but you want to know something? If I put a dollar in a jar for every time
someone was going to call me back, I would have retired 5 years ago. I don’t work
on callbacks specifically because I know you’re a busy executive. You know and I
know you’ve got a hundred other things to do. Employees to take care of, staff
meetings, etc. I’m gonna go on to other clients. Two or three hours probably won’t
make a difference except for the fact that I won’t be able to get you on the phone
and you won’t be able to get me on the phone. My two tools are my pricing and my
timing. Without these, you’re tying my hands behind my back; I might as well be an
order taker at a discount broker. The reason my clients retain an investment banker
like myself, is for my exact pricing and timing. Buy the stock here, make your
phones calls, I’ll confirm the order today; you’ve still got three days to pay for
the trade. You’ll get a Fed-Ex package in the mail tomorrow; my sales assistant
will call you in an hour or two to confirm the price. Go ahead and make your phone
calls, but let’s get the order in now, on
my pricing and timing. Believe me, in 90 days when I call you with my next idea,
you’re not gonna want to make any phone calls. Own the stock here, give me 90 days,
believe me, you’ll be very impressed. (Keep Quiet)
NO PHONE BUSINESS/ DON’T KNOW YOU/1

Whether I’m your local broker or on the other side of the world, all you should be
concerned with is my ability to make you money. Let me say this: (Sell second ten,
them go back and resell first ten.)
NO MONEY/1
If “yes”, let me say this: liquidity is a relative statement. If an individual is
usually liquid for $100,000 but now he only has $10,000, he doesn’t feel liquid. On
the other hand, if an individual is liquid for 1 million but today he only as
$100,000, he also doesn’t feel liquid. Honestly, Mr._____, for you to write a check
out today for ______ I’m sure, it’s not a question of yes or no. It’s more which
account do you write from.... (Always go back to the pitch)
NO MONEY/2
Fine, Mr. ______, I can understand that. Sometimes the best opportunities present
themselves at the least opportune times. Liquidity is relative. I have numerous
clients and at certain times of the year they’re not liquid, at other times they’re
flush with cash. I understand that when a man of your substance says he is not
liquid, he means he’d rather tie up 50 or 100 grand for 6 months. No am I looking
to tie your funds up. ______ is liquid stock. If you need your money, it’s back to
you in one week in a wire transfer. But if you pick up ____ shares, an investment
of ___ due over a week’s time, and hold it for (time frame), I think you’re looking
at a ___ stock and a very good percentage gain over the (time frame). (Always go
back to the pitch)
NO MONEY/3
I understand, and that’s exactly why I called. I know there might be a better
time for you in terms of your particular financial situation. Now, the reality is
Mr./Ms. _____, that if I could time my ideas with your moods or your liquidity, we
could both make a fortune. Unfortunately, my friend, life is not that simple. So
what I would like to suggest is that I’m not talking about you buying a quarter or
a half a million dollars worth of stock. I’m talking about something exceptional
and I am talking about a small step, not a leap, as an initial investment. What I
would like to suggest is to give me (time frame) and, once you can see on a
percentage basis what I do for you here, we will never work on such a small level
again. Fair enough?
NO MONEY/4
___, I have two jobs here, one is to make you money. The other is to make you feel
comfortable. In an effort to make you feel comfortable, why don’t you do this; work
smaller.
Pick up let’s say ______ shares.
See, the amount of money that you invest with me today is not important, ______.
What is important is that you invest at the right time, and that I can gain you, as
a client while I have something that I’m convinced will show you results. The _____
shares come to $____. You’ll book less profits, but your percentage gain should
remain the same. If you judge me on that alone, then all I ask is that next time we
work bigger. What do you say? Sound fair enough?
CHECK MY FUNDS/1
You know what? I know what I’m liquid for and you know what you’re liquid for. I
can understand if you need to check your funds if I was asking for a hundred
thousand dollar trade and you have to move some money around, but on a small
investment like this, you know what you’re liquid for. Do this ...
LIQUID/1
Level with me, what’s really holding you back? Tell me you don’t like me. Tell me
you don’t like the idea. But don’t insult me and tell me you can’t write a check
for five grand. I wouldn’t even be on the phone with you if you couldn’t write a
check for 20k for that matter. I only deal with high net worth individuals like
you.
LIQUID/2
If you were liquid in this type of situation, you’d get involved with ____?
LIQUID/3
I understand the best opportunities happen at the worst times, they have no
birthday, and you have to squeeze a bit to take advantage of the really good ones,
this is definitely one of those.
LIQUID/4
I know where you’re coming from, liquidity is cyclical. Sometimes my clients have a
lot of cash so they can work in real size, but other times they’re not liquid like
you so they take what they can a couple of thousand shares, even a couple hundred,
because they know its gonna be worth it to them.
LIQUID/5
That’s exactly why we’re working so small.
LIQUID/6
I’m not the 1st broker who called you. I’m sure you have a system for weeding out
poor brokers, but I’m not a rookie who hangs up just because you say you’re not
liquid. Hey if I thought that, I’d have never called you in the first place.
LIQUID/7
You don’t want a broker who calls when you’re liquid. You want one who calls when
it’s profitable. That’s me.
“YES” LIQUID
Now obviously I can’t impact your net worth on a small trade like this. However, if
you judge me on % gains, all I ask when I’m exactly right down the road, is you
allow me to impact your net worth in a much more meaningful way. FAIR ENOUGH?
“NO” – LIQUID
The initial commitment is secondary. It’s not the amount we get started with, but
the fact we do get started. Now, in the past when you’ve seen value in a firm like
________, and even more importantly, when you’ve seen value in a broker like
myself, and I consider myself to be the best in the business, what do you normally
put towards a first trade basis?
#5k based on what you’re telling me, you want your broker to prove himself in a
small way before making larger transaction –WAIT—
That’s about # of shares of this stock.
NOT LIQUID/1
How’s the market treating you? I’m sure you have some stocks out there that are
trading up/down/ or even? Book a profit, book a loss and put your money into a
stock that’s going to perform. Because quite frankly, if you can honestly tell me
that over the next 20 days every one of your stocks is going to move 30-40% ... you
now what? You don’t need me. But you and I both know that’s not the case. It’s that
good FOR NOW go with me.
NOT LIQUID/2
Let’s be frank for a second. You and I both know that you could get (Dollar amount)
to (clearing firm) in five business days, if you want to ... right?
Okay, what I suggest you do is this: take a look at your portfolio find one or two
stocks that are flatted down. I know you have them. I work with hundreds of
brokers. I know how brokers think. Most brokers are afraid to sell a stock that’s
flat or down because they think if they do, they’re going to lose credibility with
their clients. That’s got to be one of the biggest mistakes in the industry,
because there is nothing more frustrating than sitting in a stock that’s flat or
down while there are plenty of stocks going higher.
Find one of these stocks, call up your broker tomorrow and tell him sell ______
“next day settlement.” What that will do, is get you the funds in two days, you
don’t need to get a check in here for five business days, so there is plenty of
time to make this happen. Work with me on timing on ____ shares. (Close)
NOT LIQUID/3
I consider myself the best in the business you have yet to meet a broker of my
caliber, my tenacity, and preserver when it comes to making money in the market.
Our future business is based on performance. If I’m wrong I don’t’ get a second
chance. When I’m right I know you’re going to be a much larger client of my firm.
FOR NOW.
I have seen more money lost on indecision rather than bad decision. We’re talking
about 10k.
HONESTLY are you going to lose sleep about it?
NOT LIQUID/4
I can understand you're not liquid here, ________. Some of the best opportunities
come at the least opportune times. Let me just ask you a question: does the idea
make sense to you? Do you like the idea?
NOT LIQUID/5
Whether you buy 1 share or 10,000 shares, if the stock goes from ______ to ______
like I think it will, your percentage gain will be exactly the same. That’s all I
need to be judged on the first time out.
NOT LIQUID/6
______ I appreciate you’re not as liquid as you would like to be at this point in
time. Realize, I’m not asking for 50,000 shares or half of your net worth. If that
were the case, I would totally understand, but that is simply not the case. I'm
asking for a token trade to build a track record that will serve as a benchmark for
all future relationships. I'll pick the issue, the price, and the time. All I need
is one shot on a small trade to show you my pricing and timing.
NOT LIQUID/7
Understand something; I have a fiduciary responsibility to call you not when your
bank account is at its fullest, and not when I can make the most commission on a
particular trade. I’m obligated to call you when I have a security that I believe
trades higher, right now, over the short term, when timing is critical.
NOT LIQUID/8
I hear what you’re saying, _______, so put your checkbook away for a second and let
me just ask you a question: does the idea make sense to you? Do you like the idea?
NOT LIQUID/9
Obviously, I know you weren't sitting by the phone with a bag of cash waiting for
_________ to call you.
NOT LIQUID/10
No matter how many shares you own, I’m absolutely convinced you’re going to make
money on this trade and start our relationship off in the right direction. The only
way I can separate myself from many others calling you is to work on my exact
pricing and timing. I would rather you own less stock at the right price than more
stock at the wrong price.
NOT LIQUID/11
I have to believe you and I are in the same tax bracket, and to write a check for
_________is not a question of yes or no; it's just a question of which checking
account to write it from.
NOT LIQUID/12
_______, you know what? I understand you’re not that liquid, although I believe you
can write a check for this amount from 5 different accounts. I want you to realize
one thing: this stock has been trading heavy volume for the past 3 days.
Institutions are putting major buy recommendations on the stock, as well as major
wire houses, on takeover rumors alone. Let me ask you a question ...
NOT LIQUID/13
liquidity is a relative concept. If an individual is usually liquid for 100k but
now he only has 10k he doesn't feel liquid. On the other hand, if an individual is
usually liquid for 1 million dollars, but today he only has 100k he also doesn't
feel liquid. Liquidity is a state of mind. Honestly, for you to write a check out
today for ________, I’m sure it’s not a question of yes or no. It’s just which
account to write it from.
NOT LIQUID/14
Let me ask you a question. If we pick up a block of ______shares (since liquidity
is a factor) and I’m totally wrong, are you going to be receptive on my next idea?
Let me ask you another question. If we pick up _____ and I’m exactly right do you
think you’re going to want to listen to my next recommendation? Exactly, if I’m
right, I have credibility. If I’m wrong, I don’t get a second chance. My commission
here is _____. I make no money on the trade. Do this ...
NOT LIQUID/15
I understand that you may not be as liquid today as you’d like to be, but let me
ask you a question: If you were liquid, is this the type of situation you see
yourself getting involved in?
NOT LIQUID/16
I know I might have caught you at a bad time, but I call you when the market tells
me to, not when it’s necessarily most convenient for you. I mean, let's face the
facts, for guys like you and me, writing a check for a few thousands over the
period of a week is basically a non-event.
NOT LIQUID/18
Do what you have to do on your end. I'll make sure I can print you at the cheapest
possible fix. Just hold the stock for the next ______ days/month, through the
___________ and believe me, _______ you won’t be sorry. Sound fair enough?
NOT LIQUID/19
If I were asking you for 50,000 shares of stock or half your net worth, then what
you’re saying would make total sense you, but that's not the case here. We’re
talking about a very small vote of confidence here, and you and I both know you
could write a check for ___ out of five different checking accounts. You give me
one shot on a 30-day time frame, and believe me; you’re going to be very, very
impressed.
NOT LIQUID/20
________, you and I both know you're holding on to some stocks that just haven't
been performing for you lately. Move out of one of your dogs and buy this stock!
NOT LIQUID/21
Sometimes when I wake up in the morning I feel like a pauper. But you and I both
know that liquidity is strictly a state of mind. And I know one thing for sure. If
you pick up your [Financial Paper] and see _______ the money you make here is not
what is going to impress you. It will be that I was right. Again, as far as
liquidity is concerned, I don’t care how many shares you buy, as long as you get
involved in some way. I’ll show you a winner with a percentage gain that is
absolutely staggering. So the next time, you’ll be the one suggesting that.
NOT LIQUID/22
Mr. ______, I believe you’re successful and would probably not be calling you if we
didn’t believe this to be so. Don’t you agree that most people will find the money
to buy the things they really want?
NOT LIQUID/23
Let’s be conservative and start with a minimum position. Six months from now I hope
you’re going to look back at this first step with great satisfaction. Let’s take an
initial position of _______ shares.
NOT LIQUID/24
Mr. _______, the amount of this investment is much less important than your seeing
our approach. Work with us here on _____ shares. The whole reason for this call was
to give you what we believe to be, the advantage of timing.
NOT LIQUID/25
What’s your favorite sport?
Which stock portfolio are you most worried about?
Imagine yourself the manger of your local ______ team. You’ve just been offered a
change to take on _____, but it would mean you’ll have to let go of a mediocre
player. Would you make the change?
Mr._____, buying ______ shares of ______ may seem like a very big decision, but
really, it’s a small step—although an important step in beginning your relationship
with _________.
NOT LIQUID/JUST PUT MONEY INTO BUSINESS

Understand something; I am dealing with over 200 business owners, all presidents
and CEOs, like you, throughout the country. Many times of the year, they're in a
position like you. They've got a lot of irons in the fire. They're not as liquid as
they would like to be. Other times of the year, of course, they're going to be
flushed with cash. Even the ones who aren't that liquid are finding the money for
______ on some level, no matter how small, because they know my ideas work for
them.
Bottom line: I make money for my clients on a consistent basis. Not all of them are
percentage gains like analysts are predicting for. But on a consistent basis, my
clients are pleased with my approach to the market. I tell them when to move, and
they tell me how much to buy. It's that simple.
I’M REALLY NOT LIQUID/1

Listen _______, I’m a big boy. You and I both know that you can write a check for
10 grand from four different bank accounts.
I’M STAYING TOTALLY IN CASH RIGHT NOW/1
For a fair portion of your assets, I believe that’s commendable. However, you’ve
got to agree, with yields so low on CDs and Money Funds, etc., you owe it to
yourself and your family to invest in other opportunities that will give you a
“raise” in income.
“Remember, cash doesn’t rally!”
REAL ESTATE/1
In real estate, the three most important things are location, location, and
location... in the market, and its timing, timing, and timing! Well, right now,
every technical and fundamental factor is in your favor Mr. _____, I will be judged
on one thing (Pause) On my exact pricing and timing.
(SELF) (FIRM) (CLOSE)
REAL ESTATE/2
Obviously, every portfolio should have its long term goals in some sort of real
estate program ___ whether it be rental units, land, secondary or tertiary homes,
but I’m not looking to tie up your capital for 20 years.
(SELF) (FIRM) (CLOSE)
DON'T LIKE (STOCK)/1

________, I appreciate the fact that you don't like ________________. . . You wake
up every morning for a reason: to make money. If they didn't pay you to show up,
I'm sure you wouldn't even be there today, that's in your active business, creating
active income. I'm in the business of creating passive income. And I know when you
see the stock show you _____ to ______ percent in______, your concerns will no
longer be whether or not you like the idea, it will be the percentage that I make
you.
DRIVE HOME/1
______, we’ve been on the phone for some time now. You obviously like the idea. If
you didn't, you would have hung up on me 20 minutes ago. The reason why you're not
buying the stock is not the money. _____. It's the fact that you don't know me. You
get a ton of these calls every single day. Every one of them sounds like it's the
best one in the world. And you and I both know all of these great ideas don't work.
However, I drive home every night and ask myself the question: How do I get people
who don't know me involved in my program? I don't have a crystal ball, and I can't
promise you that the stock goes higher. You and I both know I'd be breaking the
law. But I can do the next best thing. I'll bring you a (example: multi-billion
dollar company, time it with a catalyst, if you will, in this case, a potential
buyout by _____.) I don't care how much you buy or how much I charge you to buy it,
all I'm saying to you is this: Why is ________working so hard to get you, _______,
to buy the stock?
(Answer) I'll tell you why. You don't know me, but if you get involved small and
you give me 30 to 45 days to watch this thing go, the next time out, when you're
more liquid, and more importantly, more comfortable, that's when we'll work in
size. Give me the shot. Believe me, you will not be sorry.
THINK ABOUT IT/1

Whether you buy antiques, a painting, real estate or any other investment, there
are only two requirements you have to satisfy to make money. First, you have to get
a good value, and second, you gotta buy at the right time. Now, based on everything
I’ve explained to you so far (resell three core points), it’s crystal clear that
______ (stock) is a good value. And in terms of timing, if we felt that we could
make this investment 30 days from now, we would have contacted you 30 days from
now. The timing on ____ is such that we cannot overlook this opportunity today at
these levels. Let me make a suggestion to you ...
THINK ABOUT IT/2

Mr. _____, the reason why my clients do well is because they move when I tell them
to move. I’m not a rookie who opens accounts for a living. We like to deal with the
more substantial investors in the country, and service only a certain caliber of
clients. We prefer to deal with people who can realize an exceptional opportunity,
and make a decision. Let me say this ...
THINK ABOUT IT/3

As a successful businessman yourself, you know that some of the greatest mistakes
in this world are made by people who procrastinate. Now, Mr. ____, I have the
highest respect for your time, and I only called you because I knew we had
something very special. Let me say this ...
THINK ABOUT IT/4

_________, I’m busy, and you’re busy, so I really prefer not to play telephone tag
here. I sense we are going to make money here. I would just like to show you
performance. I don’t care at what level we start, just give me your confidence in a
small way. So do this ...
THINK ABOUT IT/5

Let’s not kid each other. I didn’t just pick up the yellow pages and dial your
number. I know you’re man of substantial size or I would have been off the phone
with you 15 minutes ago. Groping for reasons not to do this serves absolutely no
purpose. Let me say this ...
THINK ABOUT IT/6

I’m not asking you to make a quick decision here. In fact, before you’ve even seen
this idea, our top analysts and investment bankers have done a detailed examination
of _____. They’ve ripped apart the financial statement, the company’s management
team, and the industry, so we know this stock inside and out. Our decision was
reached slowly, step-by-step, after careful thought by our research department.
What I asked you to do is listen to the results of that thought, and you’ve already
told me you agree with our thinking. And now I’m asking you to backup the judgment
you’ve already made by taking an action. So why don’t you do this ...
THINK ABOUT IT/7

Yes—I want you to think about it—very hard. But especially I want you to think
about the results. Clearly, the decision to buy the stock is not a major decision.
For you, Mr. ____, the difficulty will be when to sell it. That is going to be the
most difficult decision for you—WHEN TO SELL IT! Let me say this ...
THINK ABOUT IT/8

I can understand that this is an important decision for you to make, so just to
clarify my thinking, what is it specifically that you would like to give a little
more thought to? There must be something I’ve left out of my presentation that is
important to making your decision. What have I left out? (Then transition into the
three tens)
THINK ABOUT IT/9

If you have to think about _____ shares, then let’s start at a level small enough
for you to feel comfortable enough giving me one shot. You see, the true beauty ...
THINK ABOUT IT/10

Thinking about it isn’t going to change the fundamental idea that based on
everything I’ve said to you, this stock is a screaming buy. In fact, let me say
this: the true beauty of ...
THINK ABOUT IT/11

Honestly, if there were anything at all left to think about, I wouldn’t have gotten
on the phone with you right now.
THINK ABOUT IT/12

Please understand, my job is doing due diligence on my recommendations. I’ve done
my homework for the last six months with this.
THINK ABOUT IT/13
You know, if we were talking about a 2-year, $1 million investment, I’d INSIST that
you think about it longer. But what we’re talking about here is a few thousand
dollars over a couple of months. So let me ask you ask an honest question: what’s
the worst that can possibly happen here?
THINK ABOUT IT/14

Last time we spoke, you told me you weren’t satisfied with the returns you were
seeing in the market, and right now I’m asking you to let me show you how to change
that, but for this to work, MY timing is essential.
THINK ABOUT IT/15

The only thing I’ll ever ask of you throughout our entire relationship is that you
work on my exact pricing and timing; the size of the investment is always up to you
THINK ABOUT IT/16

The best time to make a decision is when you have all the facts fresh in your mind.
THINK ABOUT IT/17

Procrastination is the biggest thief of profits. I have seen more money lost in
this market from indecision, than any bad one.
THINK ABOUT IT/18

_______, I think it makes good sense to check and see if my information works, but
my firm has serviced thousands of investors, and we wouldn’t be in business today
if we hadn’t done a satisfactory job. If you want to watch our performance, you can
read all the major business magazines.
THINK ABOUT IT/19

______, we don’t operate like a wire house with a universe of 1,000
recommendations. We only call you a few times during the course of the year, when
on risk/rewards and time and price, we’re going to our institutions with something
exceptional.
THINK ABOUT IT/20

_________, we have to overcome the discomfort of starting a new relationship today,
not put off making you money! Level with me. What’s holding you back from giving
the firm with the number one performance history on Wall Street your vote of
confidence in some small way, this one time?
THINK ABOUT IT/21

____________, it’s almost like Déjà vu.
One day I recommended _____ to my best client at ________. He told me “it’s not
going to move just yet, I’ll call you in two days, I want to think about it.”
_________ went up _____ that day. I blame myself. Could this situation take six
months to work? Yes! Could it take three months? Absolutely! But, just as easily,
_________, tomorrow could be too late as well—and I’d hate for that to happen to
you. In fact, I’d rather see you own less at the right price than more at the wrong
price.
THINK ABOUT IT/22

______, I want you to think about it, all right. I want you to think about the
RESULTS. Clearly, the decision to buy this company has already been made. I am
asking you to place your trust and confidence in me this one time. I’ll never have
to ask for it again. Do this, ______: pick up ...
POWER PHRASES
Believe me, your sincerity sticks out.
Institutions pull the strings on the marketplace.
Give me this very small window of opportunity I'm looking for.
If I’m right, I don’t think you’re going to sell your business and move to the
Islands.
Before you run, you have to walk; before you walk you have to crawl. Right now,
we're crawling.
____________, you hit the nail right on the head.
It’s survival of the fittest.
________, you’re going to thank me all the way to the bank.
There is no better feeling than being up in your position before the check even
hits.
Where there’s smoke, there’s fire.
Beyond a shadow of a doubt
In any way, shape, or form.
________, work with me here, test us one time; The result will speak for itself.
_______, I want you to make me a commitment, when I show you that I am right, right
on the dime, we don't work this small again, you don't question my expertise again.
It’s a documented fact, not a question of yes or no.
I promise you I’ll let you go. One question ...
I’m not looking to have you buy anything ...
If I were asking you to buy anything, I’d tell you to hang up the phone ... Not a
problem ...
Let me saying one thing before I go ...
Put buying aside ...
That’s okay, _____, no problem. I sent you out some information.
No, no, don't misunderstand me. Do me a favor, put your checkbook away. I made a
commitment to get back to you one time.
What you do with the information is your own prerogative, you know that. Now, I'm
tracking ...
The information I have is valuable, and believe me, you're going to appreciate it
that I got back to you.
Take a step back, __________. When you realize why I really called you, believe me,
you're going to thank me. And let me tell you why...
With all due respect ...

Can I say this ...
Can I say one thing ...
Understand something ...
Let me tell you something ...
I’m not looking to butt heads with a potential client, but ... You know
something ...
Honestly ...
The bottom line is this ...
At the risk of sounding a bit forward ...
Don’t misconstrue my enthusiasm ...
Let me explain one thing ...
Correct me if I’m wrong ...
Can I be frank with you?...
In all sincerity...
As things look right now...
That’s okay...
I’m not going to waste your time...
My information is very accurate...
I have a stock going to.. I’ll tell you exactly what’s going on... Pay attention,
my name is... Here’s something most people don’t know... I can appreciate that...
Realize this... Follow me on this... I’ll spare you the pitch... Let me say this...
The true beauty here ...
Institutional money is usually smart money, and even when it’s not it’d be enough
to fuel the market anyway.
You know what it is... Quite frankly... Very sincerely... Let me ask you a
question... My point to you is this...

Sales Script Stocks

Enviado por

Dados do documento

Descrição original:

Direitos autorais

Formatos disponíveis

Compartilhar este documento

Compartilhar ou incorporar documento

Opções de compartilhamento

Você considera este documento útil?

Este conteúdo é inapropriado?

Direitos autorais:

Formatos disponíveis

Sales Script Stocks

Enviado por

Direitos autorais:

Formatos disponíveis

GENERIC STOCK MARKET - REBUTTALS

I DON’T LIKE THE MARKET/1

I DON’T LIKE THE MARKET/2

I DON’T LIKE THE MARKET/3

I DON’T LIKE THE MARKET/4

I DON’T LIKE THE MARKET/5

I DON’T LIKE THE MARKET/6

I DON’T LIKE THE MARKET/7

I DON’T LIKE THE MARKET/7

I DON’T BUY INDIVIDUAL STOCKS OR BONDS. I ONLY BUY MUTUAL FUNDS/1

STOCK AT OR NEAR ITS 52-WEEK HIGH/1

I DON’T BUY STOCK THAT HIGH/1

MARKET TOO HIGH, LOW, VOLATILE/1

MARKET TOO HIGH, LOW, VOLATILE/2

MARKET TOO SPECULATIVE/1

MONEY, BROKERS NOT MAKING/1

TRACK THIS ONE/1

INFORMATION, SEND ME/1

INFORMATION, SEND ME/2

INFORMATION, SEND ME/3

INFORMATION, SEND ME/4

INFORMATION, SEND ME/5

INFORMATION, SEND ME/6

INFORMATION, SEND ME/7

INFORMATION, SEND ME/8

INFORMATION, SEND ME/9

INFORMATION, SEND ME/10

INFORMATION, SEND ME/11

INFORMATION, SEND ME/12

INFORMATION, SEND ME/13

INFORMATION, SEND ME/14

INFORMATION, SEND ME/15

INFORMATION, SEND ME/16

INFORMATION, SEND ME/18

INFORMATION, SEND ME/19

INFORMATION, SEND ME/20

INFORMATION, SEND ME/21

INFORMATION, SEND ME/22

INFORMATION, SEND ME/23

I HAVE A FINANCIAL CONSULTANT/1

I’VE BEEN BURNED BEFORE/1

I’VE BEEN BURNED BEFORE/2

THIRD PARTY STORY/1

I DON’T FEEL COMFORTABLE/1

HESITATION, REAL CONCERN/1

HESITATION, REAL CONCERN/2

I’LL CALL YOU IN A COUPLE OF HOURS (I’LL MAKE A FEW CALLS)/1

NO PHONE BUSINESS/ DON’T KNOW YOU/1

NOT LIQUID/JUST PUT MONEY INTO BUSINESS

I’M REALLY NOT LIQUID/1

DON'T LIKE (STOCK)/1

THINK ABOUT IT/1

THINK ABOUT IT/2

THINK ABOUT IT/3

THINK ABOUT IT/4

THINK ABOUT IT/5

THINK ABOUT IT/6

THINK ABOUT IT/7

THINK ABOUT IT/8

THINK ABOUT IT/9

THINK ABOUT IT/10

THINK ABOUT IT/11

THINK ABOUT IT/12