Client Artifacts & Documentation

Client Artifacts & Documentation

As the advisor it is recommended to keep all records for your client in a file as follows:

  • Client Meeting and/or Call notes
  • Product Recommendations and Comparisons
  • Illustrations or hypothetical scenarios provided
  • Financial Needs Analysis and Client’s Risk Profile
  • Disclosures
  • Transitional PTE 84-24 Disclosure, signed by the client

These client related documents and artifacts must be kept for 6 years in the client’s financial file.

Please refer to our Needs Assessment & Solutions Workbook. This workbook can be printed and used as a reference for client annuity sales.