If you are an estate planning attorney referring clients to a financial advisor, are you utilizing all of the appropriate forms to legally and ethically do so?
For example, are you getting your clients to sign off a permission slip allowing you to discuss their estate planning matters with that financial advisor? Are you utilizing such a form to also solidify the type of financial planning reviews and products that you might want to have that particular financial advisor discuss with the client?
If you have any kind of relationship with that financial advisor - - joint marketing efforts, splitting of financial revenue, sharing of office expenses, etc. - - do you have the appropriate disclosures being made to the clients?
Also, do you have a simple one-page quiz that you provide your clients that help initiate the entire financial advisor referral process and get your clients and prospects thinking about the financial planning process? If not, you should! Your financial advisor referrals will love you!
It’s really important that you have these things in order to be successful with the financial advisor referral process!
You can purchase these forms individually for a total of over $89, or you can get our Financial Advisor Referral Forms Bundle Package for as low as $69.
You might also be interested in our Ultimate Estate Planning Client Meeting Forms Bundle Package, which comes complete with all 3 of the Financial Advisor Referral Forms, plus 29 other forms to help you and your practice. For more information, click here.
What’s Included in the Financial Advisor Referral Forms Bundle Package?
The Financial Advisor Referral Forms Bundle Package comes complete with the following forms:
- Financial Advisor & Attorney Referral: Client Financial Assessment Questionnaire – Simple 1-page questionnaire given to clients or prospective clients while waiting in the lobby for their estate planning meeting. This questionnaire helps identify areas of need to meet with an affiliated financial advisor and helps make the financial advisor referral easier and more successful.
- Financial Advisor & Attorney Referral: Consumer Rights Disclosure – This disclosure is given to clients to disclose the nature of the referral relationship between estate planning attorney and affiliated financial advisor (as well as of counsel attorneys). This disclosure is required by many jurisdictions and helps make a legal and ethical referral of a client between advisors.
- Financial Advisor & Attorney Referral: Client Permission Slip – This permission slip is signed by the client, authorizing the disclosure of what is otherwise considered confidential between attorneys and clients. It also is used to identify the areas of financial advising need for the client.
All forms come in a modifiable version (Microsoft Word) so that you can brand and modify them to your specific practice. You can purchase either the Digital Download Version and immediately receive these items by e-mail or you can purchase the Premium Version and receive these forms on a CD (or USB flash drive).