Section 10 – Process Q&A Copy

  1. How confident are you in your client process? Where do you think you could do better? 
  2. What keywords are you confident in using that make the experience different than a sales pitch?
  3. How could you improve on your note-taking to help make compliance a simpler process?
  4. How do you think your broker-dealer wants you to process payments and would you rather get a monthly payment or a larger amount annually? Remember that it’s easier for clients to renew when it’s a smaller amount.

Task: Reach out to your broker-dealer and find out what payment terms they prefer.