Appointment Processing Checklist

Appointment Processing Checklist

Name: ______ / Phone: ______
Appt Day/Date: ______ / Appt. Time: ______ / Location: ______
Important Information about CG: ______
______
______ / Individuals attending and other info:
______
______

Day Before Appointment

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Done / Staff / Description
r / RM / What is the primary purpose of the appointment?
 1st Meeting w/ Prospect  lick and add meeting type]"
 lick and add meeting type]"  lick and add meeting type]"
 lick and add meeting type]"  Other:
______
______
r / RM / Add following documents to appointment folder as applicable:
 New Account Forms  Appropriate Questionnaires
 401(k) Statements  lick and add document type]"
 Account Printout Reports  lick and add document type]"
 Insurance In-force Request Form  lick and add document type]"
 Document Restrictions  RMD/ IRA Distribution Forms
 Empower Status Report (from Matt)  Annuity Paperwork or Printouts
Determine if any prospectus or other sales materials are required. Gather such information and attach to this folder.
r / CO / Review the CG’s record and fill out the following information:
Favorite Beverage: ______Preference: ______
Welcome Sign Preference: ______
Check date laminated business card was last delivered, if over 1 year, prepare new one.
Upcoming Important Dates (Type/Date):
Date: ______Date Type: ______Who: ______
Date: ______Date Type: ______Who: ______
Upcoming Opportunities: :  Yes  No
Due Date: ______Source: ______Value: ______
Notes: ______
______
If CG is a Client, review all recent Notes to see if there are any open service problems. If found, write out problem here: ______
______
Status:  Resolved  In Process Estimated time till resolved: ______
r / CO / Print any documents below that are applicable to the appointment:
 Appropriate RUF /  ScratchPad
 Welcome Sign /  Info Sheet Report
 Profile(s)
r / CO / Assemble appointment folder. Attach this checklist to the inside of the cover. If a new laminated business card was needed, paperclip the new card to the front cover of the appointment folder.
r / CO / Take this checklist and all printed documents to the Service Assistant.
r / SV / Gather the following applicable documents:
 New Account Forms /  Appropriate Questionnaires
 401(k) Statements /  Account Printout Reports
 W9 Form /  Other: ______
Determine if any prospectus or other sales materials are required. Gather such information and insert into appointment folder.
r / SV / If in-office: Verify you have everything needed for the CG’s favorite beverage (cream, sugar, ice, etc.). If you do not know the favorite beverage, ask during confirmation call.
r / SV / Make confirmation call to client/prospect to verify appointment. After the call give the folder to the Relationship Manager.
r / RM / Certify that all information is in folder. Review notes in Info Sheet report and highlight any that will be needed in meeting and any missing information that needs to be gathered. After review, take to advisor for final sign off.
Relationship Manager initials here that all is ok. ______
r / RM / Place folder in the Pending Appointments File.

Day of Appointment

r / SV / Well before the appointment, put out fresh flowers, welcome sign, and prepare beverage. Place appointment folder where advisor expects.
r / SV / When CG arrives enthusiastically greet them and make sure your office number is programmed into their cell phone(s).
r / Adv / While CG waits in lobby for a few minutes, review this checklist. DO NOT place where CG can see it. Use the included RUF and/or Profile Process to make notes during the meeting.

After Appointment

r / Adv / Finalize all notes and updates that need to happen on the appropriate RUF or CopyTalk. Put all documents, including RUFs, back into the appointment folder and deliver to the RM.
r / RM / Review advisor’s notes, make any clarifications needed, and begin processing documents and forms in folder as required. Deliver any marked up reports, RUFs, and the Profile Process to the CO for processing.
r / CO / Process all updates in Gorilla. Be sure to do the following:
Update Opportunity Review Interval if needed as well as Last Review Date.
Mark all actions associated with the appointment as done.
Update Profile Process fields in ScratchPad.
Send a thank you message.
r / SV / Certify that all paperwork is completed correctly. File all paperwork per office policy.