1) Which system allows LPL employees to review, acquire, and update documents submitted by a Client? a) Documentum b) Resource Center c) ServiceWorks d) ClientWorks 2) Select the best simple wording or phrase for the jargon term: Documentum a) BETA b) Document Reporting System c) Account Transfers d) Documents Tab in ClientWorks 3) What system enables account holders to access and manage their online account 24/7? a) QuickView b) ServiceWorks c) ClientWorks d) AccountView 4) Which tab on an account summary page in ClientWorks contains tax forms? a) Documents b) Statements c) Investments d) Summary 5) Select the best example of a postive language statement: a) "I should be able to assist you with that." b) "We are experiencing a glitch in the system at this time." c) "I can definitely assist you today." d) "They don't know how long it will take." 6) True or False: A Rep ID is 4-character code only assigned to an advisor not a registered administrative assistant. a) True b) False 7) ______ occurs when a Financial Service Professional refuses to take ownership for a valid concern and/or error that took place within a different department. a) Discomfort b) Distress c) Disturbance d) Discounting 8) Which of the following BETA screens is used to verify the residential address on an account? a) DAML b) BORD c) SPAD d) ACCT 9) Which of the following symbols is a mutual fund? a) AAPL b) LPLA c) AGTHX d) VZ 10) Clientworks is used by __________. a) 3rd party vendors b) Financial Advisors c) Account Holders/ Investors  d) New Accounts Department only 

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