FINANCIAL ADVISOR CLIENT ONBOARDING SURVEY CHECKLIST

Created by ChecklistGuro (https://checklistguro.com)

--- INITIAL CONTACT & DISCOVERY ---
[ ] Client's Full Name
[ ] Date of Initial Contact (MM/DD/YYYY)
[ ] How did the client find us? (Referral, Website, Social Media, Advertisement, Other)
[ ] Brief Summary of Initial Conversation
[ ] Client's Primary Financial Goal (Initial) (Retirement Planning, Investment Management, Education Savings, Estate Planning, Other)
[ ] Scheduled Follow-Up Date

--- FINANCIAL INFORMATION GATHERING ---
[ ] Annual Gross Income
[ ] Total Assets (e.g., cash, investments, real estate)
[ ] Total Liabilities (e.g., loans, mortgages, credit card debt)
[ ] Value of Primary Residence
[ ] Outstanding Mortgage Balance
[ ] What is your primary source of income? (Salary, Business Income, Investment Income, Rental Income, Other)
[ ] Please describe any other significant assets or liabilities.

--- RISK TOLERANCE ASSESSMENT ---
[ ] What percentage of your investment portfolio are you comfortable losing in a single year?
[ ] How would you describe your investment experience? (Beginner, Intermediate, Experienced)
[ ] Which of the following best describes your reaction to market fluctuations? (Panic and sell, Hold steady, Buy more, Seek professional advice)
[ ] Considering your age, what is your typical investment time horizon? (Less than 5 years, 5-10 years, 10-20 years, More than 20 years)
[ ] On a scale of 1 to 10, with 1 being extremely cautious and 10 being very aggressive, how would you rate your investment risk preference?

--- GOAL SETTING & PRIORITIZATION ---
[ ] Describe your primary financial goals (e.g., retirement, homeownership, education).
[ ] Estimated cost associated with your primary goal (e.g., retirement savings target).
[ ] Target date for achieving your primary goal.
[ ] Current savings allocated towards primary goal (if applicable).
[ ] Which of the following best describes your timeframe for your primary goal? (Less than 1 year, 1-5 years, 5-10 years, 10+ years)
[ ] Select all financial goals you are currently pursuing: (Retirement Planning, Homeownership, Education Savings, Debt Management, Investment Growth, Estate Planning)
[ ] Rank your top 3 goals (1 = highest priority):

--- INVESTMENT STRATEGY DISCUSSION ---
[ ] Briefly describe the proposed investment strategy.
[ ] Estimated Annual Rate of Return (%),
[ ] Investment Style (e.g., Growth, Value, Blend) (Growth, Value, Blend, Income)
[ ] Asset Allocation - Select asset classes included: (Stocks, Bonds, Real Estate, Commodities, Cash)
[ ] Explain potential risks associated with this strategy.
[ ] Client understanding of strategy? (Fully Understands, Partially Understands, Does Not Understand)

--- COMPLIANCE & DISCLOSURES ---
[ ] Acknowledgement of Privacy Policy (Yes, I have read and understand the Privacy Policy, No, I have not read the Privacy Policy)
[ ] Conflict of Interest Disclosure (Yes, I have a conflict of interest to disclose, No, I do not have a conflict of interest to disclose)
[ ] Conflict of Interest Details (if applicable)
[ ] Suitability Assessment Disclosure (Yes, I understand the suitability assessment process, No, I do not understand the suitability assessment process)
[ ] Client Signature (Acknowledgment of Disclosures)
[ ] Date of Acknowledgment

--- ACCOUNT SETUP & PAPERWORK ---
[ ] Client Full Name
[ ] Date of Birth (MM/DD/YYYY)
[ ] Account Type (Individual, Joint, Trust)
[ ] Copy of Government Issued ID (e.g., Driver's License)
[ ] Client Signature
[ ] Date Account Opened

--- ONGOING COMMUNICATION & REVIEW ---
[ ] Next Portfolio Review Date
[ ] Preferred Time for Check-in Calls
[ ] Preferred Communication Method (Email, Phone, Video Conference)
[ ] Frequency of Check-in Calls (months)
[ ] Client Comments & Questions
[ ] Was the last review meeting helpful? (Yes, No, Somewhat)

--- END OF TEMPLATE ---
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