This document appears to be a survey completed by 11 participants evaluating a Know Your Customer training class. All participants indicated the training was held in St. Louis on day 2 of class. Brian Hires and Leland Smith were identified as the primary and partner ATLs, respectively. Key takeaways for initial client contacts included asking open-ended questions, obtaining permission to call back, and asking for referrals. For repeat contacts, participants noted bridging personal conversations, drilling down on financial details, and asking for referrals again. Overall, the ATLs and visiting veteran received high ratings from participants for creating a positive learning environment and providing useful feedback.

1. Know Your Customer Training
Where is your training class being conducted? Response Response
Percent Total
St. Louis 100.00% 11
Tempe 0.00% 0
Total Responses 11
What is your class number? Response Response
Percent Total
1 0.00% 0
2 100.00% 11
3 0.00% 0
4 0.00% 0
5 0.00% 0
6 0.00% 0
7 0.00% 0
8 0.00% 0
9 0.00% 0
10 0.00% 0
11 0.00% 0
12 0.00% 0
13 0.00% 0
14 0.00% 0
15 0.00% 0
16 0.00% 0
17 0.00% 0
18 0.00% 0
19 0.00% 0
20 0.00% 0
21 0.00% 0
22 0.00% 0
23 0.00% 0
24 0.00% 0
25 0.00% 0
Total Responses 11
What is the survey number assigned to your workstation? Response Response
Percent Total
1 18.18% 2
2 0.00% 0
3 9.09% 1
4 9.09% 1
5 0.00% 0
6 0.00% 0
7 0.00% 0
8 0.00% 0
9 0.00% 0
10 18.18% 2
11 0.00% 0
12 9.09% 1
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2. Know Your Customer Training
13 18.18% 2
14 9.09% 1
15 9.09% 1
Total Responses 11
What day of class are you evaluating? Response Response
Percent Total
Day 2 100.00% 11
Day 3 0.00% 0
Day 4 0.00% 0
Day 5 0.00% 0
Total Responses 11
Who is your PRIMARY ATL? Response Response
Percent Total
Abarquez, James 0.00% 0
Alexander, Anneliesa 0.00% 0
Alm, Kevin 0.00% 0
Anderson, Kristina 0.00% 0
Appel, Jeff 0.00% 0
Arner, Autam 0.00% 0
Bartlett, Eric 0.00% 0
Black, Ken 0.00% 0
Bourne, Cassandra 0.00% 0
Bowser, Walt 0.00% 0
Bridges, Amy 0.00% 0
Bunnell, Steve 0.00% 0
Castorino, Joe 0.00% 0
Coleman, Tracey 0.00% 0
Corley, Elizabeth 0.00% 0
Daugherty, Angela 0.00% 0
Dentinger, Brian 0.00% 0
Drogo, Bill 0.00% 0
Eagan, Mary Rose 0.00% 0
Erwin, Sarah 0.00% 0
Falk, Nathan 0.00% 0
Franklin, Mike 0.00% 0
Goin, Katie 0.00% 0
Grone, Sherry 0.00% 0
Harris, Holly 0.00% 0
Heithaus, Beckie 0.00% 0
Hires, Brian 100.00% 11
Horton, Sean 0.00% 0
Johnson, Robyn 0.00% 0
Jones, Jonathan 0.00% 0
Kight, Ryan 0.00% 0
Ko, Michelle 0.00% 0
Laurie, Lesley 0.00% 0
Leiendecker, Anastasia 0.00% 0
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3. Know Your Customer Training
Lininger,Veronika 0.00% 0
Malick, Carrie 0.00% 0
McDonough, Emily 0.00% 0
McKiel, Jennifer 0.00% 0
Mohme,Chris 0.00% 0
Muench, Jessica 0.00% 0
Noetzel, Janine 0.00% 0
Ratliff, Nancy 0.00% 0
Schlosser, Sarah 0.00% 0
Simmons, Nathan 0.00% 0
Smith, Jacqueline 0.00% 0
Smith, Leland 0.00% 0
Springer, Adam 0.00% 0
Spychalski, Brenda 0.00% 0
Steinkamp,Michael 0.00% 0
Stewart, Farah 0.00% 0
Toland, Kristina 0.00% 0
Turner, Scott 0.00% 0
Volz, Joe 0.00% 0
Wade, Brooke 0.00% 0
Wagstaff, Becky 0.00% 0
Walker, Tami 0.00% 0
Warchol,Katie 0.00% 0
Warriner, Abbey 0.00% 0
Williams, Stevi 0.00% 0
Wittig, Diana 0.00% 0
Woodward, Katie 0.00% 0
Wyatt, Steve 0.00% 0
Young, Robb 0.00% 0
Total Responses 11
Who is your PARTNER ATL? Response Response
Percent Total
Abarquez, James 0.00% 0
Alexander, Anneliesa 0.00% 0
Alm, Kevin 0.00% 0
Anderson, Kristina 0.00% 0
Appel, Jeff 0.00% 0
Arner, Autam 0.00% 0
Bartlett, Eric 0.00% 0
Black, Ken 0.00% 0
Bourne, Cassandra 0.00% 0
Bowser, Walt 0.00% 0
Bridges, Amy 0.00% 0
Bunnell, Steve 0.00% 0
Castorino, Joe 0.00% 0
Coleman, Tracey 0.00% 0
Corley, Elizabeth 0.00% 0
Daugherty, Angela 0.00% 0
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4. Know Your Customer Training
Dentinger, Brian 0.00% 0
Drogo, Bill 0.00% 0
Eagan, Mary Rose 0.00% 0
Erwin, Sarah 0.00% 0
Falk, Nathan 0.00% 0
Franklin, Mike 0.00% 0
Goin, Katie 0.00% 0
Grone, Sherry 0.00% 0
Harris, Holly 0.00% 0
Heithaus, Beckie 0.00% 0
Hires, Brian 0.00% 0
Horton, Sean 0.00% 0
Johnson, Robyn 0.00% 0
Jones, Jonathan 0.00% 0
Kight, Ryan 0.00% 0
Ko, Michelle 0.00% 0
Laurie, Lesley 0.00% 0
Leiendecker, Anastasia 0.00% 0
Lininger,Veronika 0.00% 0
Malick, Carrie 0.00% 0
McDonough, Emily 0.00% 0
McKiel, Jennifer 0.00% 0
Mohme,Chris 0.00% 0
Muench, Jessica 0.00% 0
Noetzel, Janine 0.00% 0
Ratliff, Nancy 0.00% 0
Schlosser, Sarah 0.00% 0
Simmons, Nathan 0.00% 0
Smith, Jacqueline 0.00% 0
Smith, Leland 100.00% 11
Springer, Adam 0.00% 0
Spychalski, Brenda 0.00% 0
Steinkamp,Michael 0.00% 0
Stewart, Farah 0.00% 0
Toland, Kristina 0.00% 0
Turner, Scott 0.00% 0
Volz, Joe 0.00% 0
Wade, Brooke 0.00% 0
Wagstaff, Becky 0.00% 0
Walker, Tami 0.00% 0
Warchol,Katie 0.00% 0
Warriner, Abbey 0.00% 0
Williams, Stevi 0.00% 0
Wittig, Diana 0.00% 0
Woodward, Katie 0.00% 0
Wyatt, Steve 0.00% 0
Young, Robb 0.00% 0
Total Responses 11
Page 4/10

5. Know Your Customer Training
What are the key takeaways you will use when making first contacts with prospective clients?
Focus on the conversation Stand away from the door with hands in plain sight Smile Must use the word permission when asking
for follow up call Ask for daytime number, cell number, email and referral At least one piece of financial information
---
forget what your mind is telling you and just make contacts Memorize an opening and say the same thing everytime ask for
referrals
---
Have an opening statement/introduction, and use it consistently; Ask open-ended questions, then shut up and let the prospect
talk; Obtain permission to call, and have a reason to follow up; Ask for a referral.
---
Knowing how to ask open ended questions. Getting permission to call and getting the phone #.
---
1-Be aware of things outside the house that may be a clue to learn things about the prospect. 2-Find at least one personal thing
to bridge over for a repeat contact.
---
Being friendly and confident and making it a conversation not an inquisition
---
-Gather Information -Build Rapport -Have a reason to come back
---
Practice makes perfect. Do more of these and practice as much as possible.
---
Be confident, ask good open ended questions, develop a personal bridge and have a conversation
---
appear professional and confident, smile, ask open ended questions, collect personal information first, find a financial reason to
return, ask permission to contact the potential client.
---
Listen to what the prospect is saying and remember it's just a conversation. Hamburger to regain control and get the minimum
four requirements to get that quality contact. Always ask for referrals.
What are the key takeaways you will use when making repeat contacts with prospective clients?
Fill in any gaps from first contact Bridge the personal and business conversations Ask again for referrals
---
use a personal bridge (deepen relationship), drill down on financial info, give heads up about the call they are about to receive
from you when you come back for eval/grad
---
Prepare for the repeat contact by reviewing notes from the initial conversation; Keep the contact conversational, and ask pertinent
questions acknowledging information the prospect has shared; Be prepared to discuss general and specific objectives, and lead
the conversation into a need for follow up; Ask for a referral.
---
Drilling down on the financial questions. Getting more person info. that I did not get in the first contact.
---
1-Using the one personal thing I learned from the first appointment to bridge over.
---
To follow up with the 1 of the 4 topics they choose from the first contact
---
-Bridge from first contact -Gather at least 2 pieces of financial information -Have a reason to call back
---
Be prepared for Hamburger. Personal bridge and prepare ahead of time.
---
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6. Know Your Customer Training
Start with the personal bridge, remind them of the financial information they gave you the last time and dig deeper.
---
Make sure you follow through with what you told the potential client that you would do, use a conversation bridge, discuss in more
detail the clients financial goals, and introduce an investment idea, gather as much financial and personal information as the
conversation will allow.
---
Build the bridge to re-establish the connect and start working your way to gaining their trust and respect. Come back with a
purpose directed toward drilling down to get more information to address their primary concern or expose the real need. Always
ask for referrals.
Please rate your ATLs and Visiting Veteran on each of the Below my 2 Meeting 4 Exceedin Total
following. expectati my g Responses
ons1 expectati myexpect
ons3 ations5
My Primary ATL creates a positive atmosphere that 0.00% 0.00% 0.00% 9.09% 90.91% 11
encourages learning.
My Primary ATL provides me with useful feedback I can 0.00% 0.00% 0.00% 18.18% 81.82% 11
immediately implement to my business.
My Partner ATL creates a positive atmosphere that 0.00% 0.00% 0.00% 9.09% 90.91% 11
encourages learning.
My Partner ATL provides me with useful feedback I can 0.00% 0.00% 0.00% 18.18% 81.82% 11
immediately implement to my business.
My Visiting Veteran provides examples and perspective 0.00% 0.00% 0.00% 9.09% 90.91% 11
throughout the discussion.
My Visiting Veteran is professional and approachable. 0.00% 0.00% 0.00% 9.09% 90.91% 11
My Visiting Veteran provides me with useful feedback I can 0.00% 0.00% 0.00% 9.09% 90.91% 11
immediately implement to my business.
Total Responses 11
Please provide additional comments about your Primary ATL.
Brian does a great job of keeping the energy level up.
---
thanks for helping us to keep things into prospective
---
He is full of energy and creates an extremely positive environment for learning. He encourages feedback and welcomes questions
to help further the educational process. He has a competitive, "can-do" spirit.
---
Brian is awesome, very knowledgable and very upbeat!
---
Created a friendly atmosphere. Has great energy and kept me engaged. Very knowledgeable and answers all questions.
---
Very positive and focused
---
Brian provides great positive energy.
---
Great job to everyone. Great energy.
---
Very professional and full of useful information plus experience examples
---
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7. Know Your Customer Training
Brian does a great job of creating a good learning environment and keeping the energy level high
---
Very energetic; approachable; full of great info and different approaches.
Please provide additional comments about your Partner ATL.
Leland also keeps the energy level High.
---
The humor is helpful
---
He is extraordinarily well structured and organized. He has a plan and - perhaps more importantly - the flexibility to shift to an
alternate plan.
---
Leland is a great leader and very helpfull.
---
Gave some different feedback on contacts different from our primary ATL.
---
Very energizing and motivational
---
Like Leeland's optimism and energy. I feel a little overwhelmed with the intensity of role playing in front of the class.
---
Great energy. Good information.
---
Nice change of pace
---
Leland is great at providing a specific direction to follow in the training process
---
Energetic; positive; great insights and makes points that I don't originally see.
Please provide additional comments about your Visiting Veteran.
Mike has been wonderful - he is a fountain of useful ideas and information.
---
the realistic approach on how to tackle this adventure is helpful
---
The Visiting Veteran is a great conversationalist. In addition, he has good internal systems in place and a genuine love for what
he is doing.
---
Mike is great! He helps alot and is very knowledgable.
---
Mike Chiacchira was our visiting vet. He is a wealth of information and had some great ideas to help with me with my business.
He is a great speaker.
---
Really knowledgable and willing to share the ingredients to his success
---
Mike is a great VV. Can tell Mike wants us to succeed and is providing us with tools to accelerate our businesses.
---
Awesome! I will stay in touch with Mike.
---
Very helpful and informative. A little long winded
---
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8. Know Your Customer Training
Mike is a walking encyclopedia of useful information and experiences.
---
A never-ending fountain of knowledge/tips; great approaches or responses that I never would think of on my own. Approachable.
A walking, breathing real-life example of success at Jones.
Please rate your level of confidence with each of the following. Not 2 Confident 4 VeryConfi Total
Confident 3 dent5 Responses
At All1
Understanding the features, benefits, risks, pricing structure 0.00% 0.00% 0.00% 0.00% 0.00% 0
and suitability of Fixed Income Investments
Understanding the features, benefits, risks, pricing structure 0.00% 0.00% 0.00% 0.00% 0.00% 0
and suitability of Equity Investments
Understanding the features, benefits, risks, pricing structure 0.00% 0.00% 0.00% 0.00% 0.00% 0
and suitability of Mutual Fund Investments
Total Responses 0
What would increase your confidence in understanding fixed income, equity and/or mutual fund investments?
Please rate your ATLs and Visiting Veteran on each of the Below my 2 Meeting 4 Exceedin Total
following. expectati my g Responses
ons1 expectati myexpect
ons3 ations5
My Primary ATL creates a positive atmosphere that 0.00% 0.00% 0.00% 0.00% 0.00% 0
encourages learning.
My Primary ATL provides me with useful feedback I can 0.00% 0.00% 0.00% 0.00% 0.00% 0
immediately implement to my business.
My Partner ATL creates a positive atmosphere that 0.00% 0.00% 0.00% 0.00% 0.00% 0
encourages learning.
My Partner ATL provides me with useful feedback I can 0.00% 0.00% 0.00% 0.00% 0.00% 0
immediately implement to my business.
My Visiting Veteran provides examples and perspective 0.00% 0.00% 0.00% 0.00% 0.00% 0
throughout the discussion.
My Visiting Veteran is professional and approachable. 0.00% 0.00% 0.00% 0.00% 0.00% 0
My Visiting Veteran provides me with useful feedback I can 0.00% 0.00% 0.00% 0.00% 0.00% 0
immediately implement to my business.
Total Responses 0
Please provide additional comments about your Primary ATL.
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9. Know Your Customer Training
Please provide additional comments about your Partner ATL.
Please provide additional comments about your Visiting Veteran.
Please rate your level of confidence with each of the following. Not 2 Confident 4 VeryConfi Total
Confident 3 dent5 Responses
At All1
Writing a Tax-free investment presentation 0.00% 0.00% 0.00% 0.00% 0.00% 0
Writing an Equity investment presentation 0.00% 0.00% 0.00% 0.00% 0.00% 0
Writing a Mutual Fund presentation 0.00% 0.00% 0.00% 0.00% 0.00% 0
Total Responses 0
What would increase your confidence in writing a tax-free, equity, and/or mutual fund presentation?
Please rate the course material on each of the following. Strongly Disagree Neither Agree Strongly Total
Disagree AgreeNor Agree Responses
Disagree
The training material was easy to follow 0.00% 0.00% 0.00% 0.00% 0.00% 0
The role-plays and activities added to my learning experience 0.00% 0.00% 0.00% 0.00% 0.00% 0
Overall, the time allotted to the subject matter was appropriate 0.00% 0.00% 0.00% 0.00% 0.00% 0
It was clear to you how this material will assist you as a 0.00% 0.00% 0.00% 0.00% 0.00% 0
Financial Advisor
Total Responses 0
Please rate your level of clarity with each of the following. Not 2 Moderatel 4 Complete Total
ClearAt yClear3 lyClear5 Responses
All1
The number of quality contacts required in order to attend 0.00% 0.00% 0.00% 0.00% 0.00% 0
Evaluation Graduation.
The training and exams to be completed in order to attend 0.00% 0.00% 0.00% 0.00% 0.00% 0
Evaluation Graduation.
Total Responses 0
What would increase the clarity of your overall expectations?
Please provide any additional comments.
The amount of information, as advertised, is overwhelming, but having been in this industry for some time I feel this is by far the
best training I've ever had.
---
There is a lot of information to ingest. The ATL's and visiting veteran are creating an environment that keeps the group positive
and encourages learning & the sharing of ideas.
---
KYC so far has been a great experience.
---
Leave soda machines on all the time! Thank you!
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10. Know Your Customer Training
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Despite the fire-hose effect, I will be ecstatic if all I walk away with is the ability to make great contacts F2F. (Even though I'm still
far from that).
Response Response
Percent Total
Total Responses
Page 10/10