Client Engagement Book

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MRFC Exam Preparation

Client Engagement

 by  James J. Lifter Jr. and Edwin P. Morrow

Financial Services Professionals:

Nothing Begins Until Someone Is Engaged

Client“a person or group that uses the professional advice or services of a lawyer, accountant, etc.  A customer.”¹

Engagement“an appointment or arrangement.  A pledge; an obligation or agreement.”²

Without these two simple words, financial professionals would be as useful to society, and people in general, as a handle on a lemon.  It is the client engagement that is the starting point for all that we say and do in our industry. Without engaging someone, we stand to be left behind in the mass market that is financial planning in the twenty-first century. You can have all of the education, textbooks and knowledge in the world, but until you actually engage your client you have nothing of value.

The Client Engagement is designed for the advisor who wishes to expand their practice to include fee planning.  The proper engagement of the client is essential to the delivery of professional financial services.  This includes the full and proper explanation of the advisor’s services, the complete disclosure of all information, the assurance of client satisfaction, and the role that ethics plays in the ultimate success of the engagement.  This workbook, will be your guide through the client engagement and ultimately the entire financial planning process.

 In the IARFC guides Client Acquisition and Adviosr’s Marketing Plan you learned how to prospect for your chosen clientele.  Now is the time to learn how to guide that prospect to take the next step in the planning process.  By following the suggestions and recommendations within this guide, you will have given yourself a step-ahead in a market that is saturated with others seeking fame and fortune.