Office Procedures

LA & BOSTON

LOS ANGELES

OPENING THE OFFICE 

OPENING THE OFFICE CHECKLISTOP3 

1)  Turn on lights and prop open doorOP4 

2)  Retrieve daily newspaperOP4 

3)  Turn on music and TV’SOP4 

4)  Turn on mail machineOP4 

5)  Clean kitchenOP4 

6)  Bake cookies, prepare coffee, and fill candy dishOP4 

7)  Keep reception area and conference rooms tidy throughout dayOP4 

 

CLOSING THE OFFICE 

CLOSING THE OFFICE CHECKLISTOP5 

1)  Clean kitchenOP6 

2)  Turn off mail machineOP6 

3)  Turn off music and TV’SOP6 

4)  Clean kitchenOP6 

 

MAINTAINING CLIENT INFORMATION AND FILES 

MAINTAINING CLIENT INFORMATION AND FILES CHECKLISTOP7 

1)  Checking out client filesOP8 

2)  Checking in client filesOP9 

3)  Paper correspondenceOP9 

4)  Electronic correspondence (e-mail)OP10 

5)  Literature requestsOP10 

6)  Update missing or outdated information in contact management systemOP12 

 

CLIENT COMPLAINT 

CLIENT COMPLAINT CHECKLISTOP13 

1)  Client notifies Advisor of complaintOP14 

2)  Forward complaint letter or notes to branch manager/OSJ and schedule on calendar to check status of issueOP14 

3)  Forward Complaint or Notes to compliance’s legal departmentOP14 

4)  Legal will forward a response to the advisorOP15 

5)  Legal sends response to clientOP15 

6)  Advise the branch manager/OSJ of complaint resolutionOP15 

 

 

COMPLIANCE APPROVALS 

COMPLIANCE APPROVALS CHECKLISTOP16 

1)  Prep materials for submission to complianceOP17 

2)  Complete broker dealer (B/D) advertising and sales literature formOP17 

3)  Record compliance approval tracking numberOP19 

4)  Retain a copy of the mailing lists for all Client event invitations and/or mass mailingsOP19 

5)  Compliance submissions for website changes and/or other submissionsOP19 

 

TIME MANAGEMENT 

TIME MANAGEMENT CHECKLISTOP20 

1)  The 6 Most Important and Vital 1™OP21 

2)  Team meetingsOP22 

3)  Annual staff retreatsOP23 

4)  CalendarsOP25 

5)  CopytalkOP25 

TABLE OF CONTENTS 

Resources

logo_edited.jpg

 OFFICE PROCEDURES

Making Updates on Any Procedures

As the business evolves and expands, there will be a need to make changes or edits to the procedures listed on the backend of the website. Whenever a change or edit is needed, follow the below instructions:

 

  • If the change involves text directly on the website, copy and paste the existing wording from the backend page into a Word document and update the part in question. Then send it to Jack for review. Once approved by Jack, send it to Vessy to paste into the site directly.

  •  If the change involves text already in a Word document, download it and make changes within the Word document.  Then send it to Jack for review.  Once approved by Jack, send the updated Word document to Vessy to upload to the site.

BOSTON

OPENING THE OFFICE 

OPENING THE OFFICE CHECKLISTOP3 

1)  Turn on lights and prop open doorOP4 

2)  Retrieve daily newspaperOP4 

3)  Turn on music and TV’SOP4 

4)  Turn on mail machineOP4 

5)  Clean kitchenOP4 

6)  Bake cookies, prepare coffee, and fill candy dishOP4 

7)  Keep reception area and conference rooms tidy throughout dayOP4 

 

CLOSING THE OFFICE 

CLOSING THE OFFICE CHECKLISTOP5 

1)  Clean kitchenOP6 

2)  Turn off mail machineOP6 

3)  Turn off music and TV’SOP6 

4)  Clean kitchenOP6 

 

MAINTAINING CLIENT INFORMATION AND FILES 

MAINTAINING CLIENT INFORMATION AND FILES CHECKLISTOP7 

1)  Checking out client filesOP8 

2)  Checking in client filesOP9 

3)  Paper correspondenceOP9 

4)  Electronic correspondence (e-mail)OP10 

5)  Literature requestsOP10 

6)  Update missing or outdated information in contact management systemOP12 

 

CLIENT COMPLAINT 

CLIENT COMPLAINT CHECKLISTOP13 

1)  Client notifies Advisor of complaintOP14 

2)  Forward complaint letter or notes to branch manager/OSJ and schedule on calendar to check status of issueOP14 

3)  Forward Complaint or Notes to compliance’s legal departmentOP14 

4)  Legal will forward a response to the advisorOP15 

5)  Legal sends response to clientOP15 

6)  Advise the branch manager/OSJ of complaint resolutionOP15 

 

 

COMPLIANCE APPROVALS 

COMPLIANCE APPROVALS CHECKLISTOP16 

1)  Prep materials for submission to complianceOP17 

2)  Complete broker dealer (B/D) advertising and sales literature formOP17 

3)  Record compliance approval tracking numberOP19 

4)  Retain a copy of the mailing lists for all Client event invitations and/or mass mailingsOP19 

5)  Compliance submissions for website changes and/or other submissionsOP19 

 

TIME MANAGEMENT 

TIME MANAGEMENT CHECKLISTOP20 

1)  The 6 Most Important and Vital 1™OP21 

2)  Team meetingsOP22 

3)  Annual staff retreatsOP23 

4)  CalendarsOP25 

5)  CopytalkOP25 

Resources

logo_edited.jpg

 OFFICE PROCEDURES

Making Updates on Any Procedures

As the business evolves and expands, there will be a need to make changes or edits to the procedures listed on the backend of the website. Whenever a change or edit is needed, follow the below instructions:

 

  • If the change involves text directly on the website, copy and paste the existing wording from the backend page into a Word document and update the part in question. Then send it to Jack for review. Once approved by Jack, send it to Vessy to paste into the site directly.

  •  If the change involves text already in a Word document, download it and make changes within the Word document.  Then send it to Jack for review.  Once approved by Jack, send the updated Word document to Vessy to upload to the site.

Boston, MA:

636 Great Road,

Stow, MA 01775

 

Las Vegas, NV:

1180 N. Town Center Dr., Suite 100 
Las Vegas, NV 89144

 

Corporate Office - 

Los Angeles, CA:
6200 Canoga Ave., Suite 202

Woodland Hills, CA 91367

 

info@premierwealthcoach.com

Tel. 818-888-4646

Fax. 818-888-4647

Advisory services offered through Premier Wealth Advisors, Inc., a Registered Investment Advisor.

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