Broker of Record Appointment Letter Total Needs Checklist
We strongly suggest that you incorporate some form of the attached forms into your file for each client.
Broker of Record Appointment Letter
If you plan on providing full service to the client on all their financial needs. This service usually includes knowledge and control of products that you did not originally provide. Life and Investment Companies will not release information on existing business where you can not provide this letter.
Keep a copy with you at all times so that you can provide full service to your clients.
Total Needs Compliance Checklist
You are required by law to ensure that any product you hold yourself out as marketing, you must provide proof that you either attempted to or presented to your client. You must have some form of this checklist in your file on each adult client for your protection.