PROSPECT & REFERRAL CHECKLIST
PHASE 1- INITIAL CONTACT
PROSPECT NAME: ______DATE STARTED:______
____Enter the prospect’s contact information into
Contact Management System.____ N/A
Get e-mail address(Admin)
____Document referral information – call referee
if necessary to qualify referral.____ N/A
(Admin)
Setting Opener Appt:
____Schedule a call on Advisor’s calendar immediately.____ N/A
(Admin)
____Schedule 3 days out for the Scheduling Manager to
follow-up with the Advisor on progress made on call.____ N/A
(Admin)
____If a referral: Send “Thank You: to
client who provided the referral upon contacting prospect.____ N/A
(PRL I)(Planner)
____Scheduling Manager to follow-up with Advisor on progress
made toward scheduling first appt.____ N/A
(Admin)
Opener Appt.Set:
____Send prospect packet with letter and e-mail
link to website for directions.____ N/A
(PRL II A, call in)(Admin)
(PRL II B, a referral)
____Set reminder to send postcard to confirm and looking
forward to meeting, 4 days before appt.____ N/A
(Admin)
____Call day before appt. to confirm time and directions.____ N/A
(Admin)
Opener Not Set:
____Determine if prospect is converted to DRIP____ N/A
(Planner)
____Enter into DRIP system____ N/A
(Admin)
____If not a DRIP, refer to another advisor, or make inactive
inactive in Contact Management System.____ N/A
(Admin)
Opener/Factfinder appt.:
____Admin to prepare file with ADV Part II and fee schedule
and any information already gathered.____ N/A
(Admin)
____Planner meets with client to agree on process and fee
structure, if client is not sure, planner schedules a follow-up
phone call in 1 week.____ N/A
(Planner)
____Reminder is set to call prospect in 1 week.____ N/A
(Admin)
____If client wants to proceed and has not brought in
worksheet, planner sets next appt. and reviews
information requires.____ N/A
(Planner)
____If client has brought in worksheet, planner review
information and asks other pertinent questions, family
issues, etc.____N/A
(Planner)
____Planner sets next appt. and sends home list of additional
information needed (if any).____ N/A
(Planner)
____If unable to schedule next appt., follow-up is set to
call next day to schedule next appt.____ N/A
(Admin)
____Set reminder to follow-up on additional information
(if any) needed to complete plan…note what is needed
in Contact Management System notes.____ N/A
(Admin)
____Initiate “Thank You/Meeting Summary letter”.____ N/A
(PRL III)(Admin)
Proposal Process:
____Enter information from confidential worksheet into
financial planning software.____ N/A
(Admin)
____Check all inputted information for errors and tweak
as necessary.____ N/A
(Planner)
____Write list of all new accounts that will be established
and transfer forms needed and quotes needed.____ N/A
(Planner)
____Request quotes for all term life, LTD, or LTC
being presented.____ N/A
(Admin)
____Run illustration for any permanent life insurance
being presented.____ N/A
(Planner)
____Print financial plan and bind.____ N/A
(Admin)
____Prepare and fill out all applications necessary to
implement recommendations.____ N/A
(Admin)
Implementation Appt.:
____Call the day before appt. to confirm appt.
(if necessary, reschedule appt.)____ N/A
(Admin)
____Present plan, all recommendations and get
all necessary paperwork filled out and signed.____ N/A
(Planner)
____If there are more recommendations to discuss,
schedule another appt. or discuss finishing
through the mail.____ N/A
(Planner)
____Initiate meeting summary letter and mail to client.____ N/A
(PRL IV)(Admin)
____If completing in mail, send all necessary forms
to be filled out, sign, with return postage paid envelope
with meeting summary letter.____ N/A
(Admin)
____Initiate “Thank you/became client” letter to referee____ N/A
(PRL V)(Admin)
____If necessary, call in one week to see if mailed
applications were received, completed and returned.____ N/A
(Admin)
____If another appt. had been scheduled, call the day before
Appt. to confirm appt. (if necessary, reschedule appt.)____ N/A
(Admin)
____Complete additional applications to complete
implementation.____ N/A
(Planner)
Proceed to New Business Processing
Proceed to Service Model