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  1. Provides a framework for establishing meaningful Financial Advisor - Client relationships.
  2. Proposes Advisor standard weeks to ensure Client Care and asset growth.
  3. Proposes documentation and debriefing steps as integral to the entire process.


These specific guidelines provide a framework/structure that helps to establish or enhance an approach to financial advising that facilitates productive Client partnerships where trust, integrity and transparency are priorities. Included here are:

•  Client categories where Advisors evaluate where best to spend time and energies.
•  Ideal client characteristics and ideas for acquiring new clients and building business.
•  Recommended approaches for obtaining referrals and associated scripting.
•  Recommended Advisor weekly activities.
•  The value provided by Advisors to build confidence in the minds of Clients and to substantiate fees/costs and ensuring pricing integrity.
•  Communicating costs/fees to Clients.
•  Planning interactions in advance to facilitate relationship-building.
•  Planning an investment approach.
•  Getting the most out of Client interactions.
•  The ideal debrief and follow-up action items.

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Source: Financial Advisor Orientation & Relationship-Building Guidelines PDF document


Financial Advisor Orientation & Relationship-Building Guidelines

Sold by Karen Reitor, Communique Productions Inc (this author has 84 documents)


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This business document is categorized under the function(s):

It applies to Financial Advising Services

File Type: PDF (pdf)

File Size: 627.1 KB

Number of Pages: 29

Related Topic(s): Client Management

Purchase includes lifetime product updates. After your purchase, you will receive an email to download this document.

Initial upload date (first version): Mar 11, 2020
Most recent version published: Mar 13, 2020

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