Sample New Client Prospecting Procedure

sample financial advisor prospecting procedure

This is an example of a new client prospecting procedure – steps for getting a prospect on board as a client.

Benefits: Get clear! Creating your own new client prospecting procedure helps you to visualize in your mind the steps prospects will go through as they come on board and work with you.


Customize this procedure to suit your practice!


I. Prospect Contact:

  • Prospect inquires about my services through Online Consultation Form, email, or phone.
  • Direct prospect to Online Form OR my assistant.
  • **Depending upon your target market, you may need to Pre-Qualify the prospect prior to an in-person or phone meeting.
  • Prospect selects time of choice to speak with me via phone.
  • Prospect receives the automated calendar appointment which details this message in the confirmation:

“** Before our call/meeting, please review ‘What makes us different’ and our ‘Client Service Experience’ on my website (or Our Ideal Client Profile). Here are the links:

link 1

link 2


  • Prospects learns more about our services and reads “5 Reasons Why Clients Enjoy Working With Us”
  • Add prospect to CRM/contact database
  • Research – do internet research and find out more about them.
  • Send invitation to Linked-In


II. During prospecting consultation:

  • Find out what they need: Use my own custom Prospecting Script
  • Ask about their challenges
  • Confirm that I can help the client and give examples of clients in similar situations.
  • Ask what they see as the benefits of hiring me
  • Ask about concerns they might have if they hire me
  • Review fees and options
  • Ask for the business – would you like to hire me as your advisor?
  • Yes Wants to commit.
  • Have 2 available appointment times to choose from for the first call/in person meeting
  • Skip to IV.


III. No commitment

Schedule follow up phone call within one week. Discuss why working with me would be worthwhile and any go over any objections.


IV. Commitment from prospect to become a client

  • Send Agreement – get their agreement when asking for the signed copy to be returned within 3 days.
  • Receive signed Agreement
  • Set up client on our system and automate as much as possible


V.  First call/meeting:

  • Discuss Ground Rules, Roles & Responsibilities
  • Discuss Financial Goals
  • Send link to “Guide to Getting the Most out of Working with Us”
  • Discuss Action Plan


See also How to Write a Prospecting Letter with Sample Letters


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I have been coaching Financial Advisors and Investment Managers on Prospecting Coaching since 2004! I help you build a professional business where you are growing and becoming the person and firm you’ve always wanted.

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