Self Closes1.Self 1: Stop Loss/ Downside Protection CloseWhen I make an investment for aclient, I have a verysimple philosophy. Either astock is moving in the right direction or the wrong direction, agreed? Now, if anyone of our investments moves in thewrong 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. Sofor 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 amnot going to call youup 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 ifany bad news comes out on the market, hell, if any bad news comes out on thecompany, our profits are protected. Shouldthis stock continue to trade higher, theway I believe it is going to,I will simply trail your stop loss up, and squeezeasmuch profit out of the investment as wepossibly can. Now, give metheopportunity on (shares), I will show you a levelof professionalism and anapproach to this business you have never seen before!2.Self 2: Firm/Clearing House/Broker Information CloseWhy dont you write down myinformation? 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 houseon Wall Street and the 2ndlargest 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, andyou 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 inbringing under valued investments like (stock) to my clients so there is NOQUESTION I can be of some value to you. Pick upthe (shares), I will have aFedEx package onyour desk with all of the information onmy 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 nocommission, my gift to you. Now, if the stockruns,the way I believe it is goingto, 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 CloseYou 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% ofthe original market leaders will actually return to themarket as leaders. Sonow, 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 mychief market analyst, Wayne Kaufman toprovide a comprehensive portfolio review. You willsee 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 ofcompanies 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 CloseI know you have dealt with these big wire house firms like Merrill Lynch or SmithBarney right?? Of course you have! These firmshave investment bankingrelationships with thecompanies they recommend so they cannot upgrade ordowngrade stocks in a timely fashion infear of losing millions of dollars ofinvestment banking business. We at (firm) do nothave that problem because we haveno affiliation with the stocks werecommend. Our research is based ona combinationof technical and fundamental analysis, if we believe astock is trading higher, we buyit, if we believe a stock isgoing to trade lower we either sell it or short it. Openacompetitive account! Put me up against your other wire house brokers. Give me thenext 60-90 days and once yousee how knowledgeable I amabout the differentindustries and sectors and you combine that withthe quality of companies Iam goingto bring you, you will be very impressed! Now on 100 shares, we will get thisaccount setup individually for the sakeof simplicity.5.Self 5: Comfort/ Establish a Track Record CloseLets just say I had been your broker, consistently making you money over the pastcouple of months, it is safe to say that you would atleast 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 whatI am trying to establish here today. Lets take astep back fora minute. All you know about me is myname is (name) and I am astock broker at(firm). What you dont know about me is I am in myoffice 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 feelmore comfortable, pick up just (firms minimum shares), althoughyou wont make as much money as myexisting clients do, your percentage gains willbe the exact same! If you can judge me onthat and thatalone, 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 youneed 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 amin today by nottaking into account my clients downside risk.Lets just say hypothetically, you pick up 100 sharesof 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 acan 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, Iam not evenleft with enough to buy myself lunch. So what is mymotivation? My motivation is toestablish a track record, to show you I am the broker who can guide you into and outof the market atthe right time, but moreimportantly, keep dollars and centswherethey 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 twoquestions. 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 mybusiness card out to some of your golfingbuddies.7.Self 7: Future Business/Credibility CloseI 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 ampuffing my bestfoot forward with (stock) because lets face it,any future business we dotogether willbe based uponmy performance right here, right now!! Basically, (prospect), if I amright, I have credibility with you! If I amwrong, 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 Imake a suggestion? (pause) Just toget 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, youwere 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 CloseMy experience, background, and connections on Wall Streetare second to none. Ieatand sleep this business. I am in the office at 7am andleave after 9pm 6 days perweek. 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 overthe long term in the ways of our newissues, 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 apercentage gain. Do just(firms minimum) if you likewhat you see, which I knowyou will, we will work bigger and better later ok??Self 9: Small Order & Low Commission CloseI just want youto understand that most of ourclients are high net worth individualsjust like yourself, but they have all started off the same way- acouple hundredorcouple thousand shares. Most brokers would ask that youtake a 10,000 position,charge $5,000 commission and WIN, LOSE, orDRAW-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 agood job and make you money.(Prospect) let the results convince you that you madethe right decision!10.Self 10: Future Business CloseLet me ask you this; lets sayI were to pick you up 100 shares andthe 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, anyfuture business we do together will bebased on thisone trade where I am willing to discount my commission to aminimum.If I perform, we will do more business, if not we part asgentlemen. 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 CloseLet me ask you, do you have any kids? Okay, have youever 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 putyour 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 CloseThe 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 ourresearch and the level of dedication to ourclients, you will never want toopenanother account again!13.Self 13: Serious Money CloseI 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 wellas I do that there are aselect group of people on WallStreet 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 ofyou is that when you see Iamright, next time out, when you are more liquid, more importantly, as my performancewarrants it, we work bigger andbetter next time. Fair enough?14.Self 14: One Shot for Future Business CloseI 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 abenchmark for future business. People do business with you because YOURE theexpert. And thats the same reason whypeople 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 ofme. GIVE ME ONE SHOT to proveto you that having arelationship with a topadvisor on Wall Street CAN MAKE YOU A LOTOF MONEYnot overnight,but over a period of time.15.Self 15: Serious Money CloseI am looking for a longterm relationship with an investor who wants to makemoney in the market. Everybody comes to you with ideas, but has anyone evermade you real, I mean real money in the market? You know as well as I there areselect group of people onWall Street who consistently make money for theirclients, 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 youfor another dime, not anotherred cent, not a stitch of stockuntil (stock) trades substantially higher. But what Ido ask of you is that when you see that I am right next time out, when you aremore liquid, more importantly as my performance warrants it, we worka littlebigger than 100 shares. Fair enough?16.Self 16: Risk CloseWe are obviously in a risk element, themarket. 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 mefor awhile. Lets do 100 shares, I will not disappoint you!!

Self 17: Trust Close(Prospect), believe me, I understand your concerns. In fact, if someone were toask me to invest (dollar amount), with whom Ididnt know very well, I might bealittle skeptical too. So I absolutely understand, and I know I am asking you tostretch yourself but I also know that nothing greatwas ever done without it. Giveme your trust and confidence this one time and I will never, never have to ask forit again. Lets go with just 100 shares,its going to work out in abig way.