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ADDRESS CHANGE 

ADDRESS CHANGE CHECKLISTCS3 

1)  Client notifies office of address changeCS4 

2)  Client is informed of how long process will take and what correspondence they                may receiveCS4 

3)  Pull most recent update and make note of address changeCS5 

4)  Create a history record of the request in contact management systemCS5 

5)  Change address in contact management systemCS5 

6)  Complete address change request form for assets held outside your broker dealer          custodyCS5 

7)  Schedule on calendar to verify address change has been completed for assets held outside your broker dealer custodyCS7 

8)  Submit address change form to your broker dealerCS7 

9)  Schedule on calendar to verify address change has been completed by your                     broker dealerCS8 

10) If gifts have been ordered for Client, call vendor to change addressCS8 

 

STRUCTURE CHANGES 

STRUCTURE CHANGES CHECKLISTCS9 

Associate Wealth Advisor Assigne to Client Letter 

1)  Tag clients being assigned to Associate Wealth AdvisorCS10 

2)  Send letter to clients being assigned to Associate Wealth AdvisorCS10 

Partner Letter 

3)  Tag clients being services by the Partner AdvisorCS12 

4)  Send letter to clients being services by the Partner AdvisorCS12 

Transaction to Fee Letter 

5)  Tag clients that you wish to convert to fee-based businessCS14 

6)  Send letter to clients you wish to convert to fee-based businessCS14 

Firing a Client 

7)  Tag clients that you wish to fireCS16 

8)  Send letter to clients you wish to fireCS16 

Assignment of New Advisor at Broker Dealer 

9)  Tag clients that have an annuity contract for which the advisor should be changedCS19 

10) Send assignment of new advisor letter to annuity companiesCS19 

 

FORECASTED TRANSACTIONS 

FORECASTED TRANSACTIONS CHECKLISTCS21 

1)  Obtain information needed to track forecasted transactionsCS22 

2)  Track forecasted transactions in contact management systemCS22 

3)  Edit/update any forecasted transactions in contact management systemCS23 

4)  Complete forecasted transactions in contact management systemCS23 

5)  Monitor forecasted transactions weeklyCS236)  Report completed transactions monthly to AdvisorCS24 

 

DEATH CLAIMS 

FORECASTED TRANSACTIONS CHECKLISTCS25 

1)  Obtain information from obituary or individual reporting the death of clientCS27 

2)  Make changes in contact management systemCS27 

3)  Send flowers to church or funeral homeCS28 

4)  Schedule on Advisor’s calendar to attend visitation and/or funeralCS28 

5)  Make a note of restrictions on trading in contact management systemCS28 

6)  Request death claim paperwork and obtain date of death values for all assets held with broker dealer and/or outside your broker dealer custodyCS29 

7)  Schedule forecasted transaction to contact each company which has not forwarded the death claim paperwork to the AdvisorCS30 

8)  Notify deceased’s representative of number of certified death certificates and additional documents requiredCS30 

9)  Send death claim paperwork to deceased’s representativeCS31 

10) Update forecasted transaction to follow-up with deceased’s representative to insure completion and return of death claim paperworkCS31 

11) Make copies of all death claim paperwork and submit to your broker dealer and/or each individual company for processingCS31 

12) Update forecasted transaction to follow-up with broker dealer and/or each individual company until the processing is completedCS32 

 

ANNUAL SURVEY 

ANNUAL SURVEY CHECKLISTCS33 

1)  Print list of all clientsCS34 

2)  Segment clients in contact management systemCS34 

3)  Determine who will receive the annual survey and whenCS34 

4)  Send annual survey to clientsCS35 

5)  Create note in history when annual survey receivedCS36 

6)  Score the annual survey received for the monthCS37 

7)  Code the score in contact management systemCS37 

8)  Hold quarterly drawing for $50 of Omaha SteaksCS37 

9)  Change annual surveyCS38