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[DOCX File]Business Continuity Plan Template for - FINRA
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03/2002 – 12/2008Hanson McClain; Financial Advisor 04/2002 – 12/2007Securities America, Inc.; Financial Advisor Exams, Licenses & Other Professional Designations:
financial advisor questions to prospects

[DOCX File]“Is Your Financial Advisor Looking Out for You
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Asking for this reveals how comfortable the advisor is with being asked tough questions, and if he refuses to share the deficiency letter if he has one, it’s a big red flag. The advisor should be fine with sharing it, and feel free to explain you understand most of them are benign.
open ended financial advisor questions

Do your research when looking for the right financial advisor
A financial advisor will look holistically at your life – your family composition, your career, your hopes and dreams, your instincts about saving and spending money, your risk tolerance and other factors. So, during your initial meeting, and at subsequent reviews afterward, here …
questions financial advisors should ask

[DOCX File]WordPress.com
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For financial advisor use only. ... This information is shared with clients and prospects, so they clearly understand what services will cost and how they will be charged. Structuring fees in a consistent and transparent manner not only adds more revenue certainty to your business but solidifies the expectations of your clients, who will better ...
financial planning questions for clients

[DOCX File]www.pipersandler.com
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“Is Your Financial Advisor Acting In Your Best Interest?”. By David Patterson and Erin Preston. Financial advisors have a fiduciary responsibility to their clients. Another way of saying this is that advisors have a duty to look out after their client’s financial interests.
questions for financial advisor

[DOCX File]FINANCIAL PLANNING, CASE ANALYSIS AND PROJECTS
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If the client asks questions or says, "I want to continue doing business with you," typically in that situation, it's okay then to get the client to transfer their book of business over. ... Stanley would normally hand out the book and there'd be a Morgan Stanley advisor that would be calling the former advisor's clients. ... If the retiring ...
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[DOCX File]Edward Jones | Making Sense of Investing
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Letter to Financial Advisor Clients [Letterhead SNW] _____, 2013 [Client Name]] Re: Dear _____: We are pleased to announce that Seattle-Northwest Securities Corporation (SNW) has entered into a definitive Agreement and Plan of Merger dated April 16, 2013 with Piper Jaffray Companies and certain of its wholly-owned subsidiaries, pursuant to which SNW, including its underwriting operations ...
10 questions to ask a financial advisor

[DOC File]Diamond Consultants: Financial Advisor Recruiting Firm
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Some offices are already in a situation where clients would not even think to ask for the Financial Advisor (FA) for service. Other offices are not there yet. This mini-chart is designed to help the offices that are there stay there, and those not yet there to get there.
financial planning questions to ask

[DOC File]Client Marketing: Become or Remain Sole Provider to All ...
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May 12, 2010 · Business Continuity Plan Template for. Small Introducing Firms [Firm Name] Business Continuity Plan (BCP) Updated May 12, 2010. This optional template is provided to assist small introducing firms in fulfilling their need to create and maintain business continuity plans (BCPs) and emergency contact person lists under FINRA Rule 4370 (Business Continuity Plans and Emergency …
financial advisor questions to prospects

Financial advisor questions to clients