Relationship Management

Ten Service Standards: Self-Evaluation

 Ten Service Standards: Self-Evaluation

*Client Tenure:

5 Years:

$100 Gift (with card)

10 Years:

$100 Gift (with card)

15 Years:

$100 Gift (with card)

20 Years:

$100 Gift (with card)

(FINRA Limit $)

The 250 Million Dollar Book (.75bps)

 The 250 Million Dollar Book (.75bps)

The 500 Million Dollar Book (.75bps)

 The 500 Million Dollar Book (.75bps)

“Independent (1099)” Compensation Formula

"Wirehouse" Compensation Formula

"Independent" Compensation Formula
Wirehouse Compensation Formula
Independent Compensation Formula

*Earnings Before Owners Compensation.

Client Service Worksheet

Household Profile

 Household Profile

Information not captured on new account form.
Married couples & Domestic Partnerships: One profile for each person.

Client Service Matrix

 Client Service Matrix

Religious Holidays

According to Gallop Poll, 3 in 4 Americans identify with a religious faith. Forty-nine percent of Americans say Religion is “very important” in their life, with another 27% saying it’s “fairly important”. Respecting the faith practices of clients shows personal interest and respect.


CHRISTIAN
  • 65% of all Americans are Christian
  • Good Friday
    • Commemorates the crucifixion of Jesus Christ
  • Easter
    • Commemorates the resurrection of Jesus Christ
  • Christmas
    • Commemorates the birth of Jesus Christ
    • Holiest day of the year for Christians

JEWISH
  • 2% of all Americans are Jewish
  • However, 13% of all New Yorkers are Jewish
  • Rosh Hashanah
    • New Year
  • Yom Kippur
    • Day of Atonement
    • Holiest day of the year for Jews
  • Sukkot
    • Feast of Tabernacles
    • Joyful Day - Celebrate the Harvest
  • Hanukkah
    • Commemorates the Maccabean revolt against the Seleucid Empire Recapture of Jerusalem
    • Festival Lights

MUSLIM
  • 1% of all Americans are Muslim
  • However, 9% of all New Yorkers are Muslim
  • Ramadan
    • Muhammad received initial revelations of the Quran
    • Holy month of fasting, introspection and prayer
  • AI-Hijra
    • Islamic New Year
    • Marks the end of Mohammad's journey from Mecca to Medina
  • Arafat
    • Ninth day of Jajj
    • Holiest day in Islam
    • Muslims around the world gather at mosques for a solidarity prayer
    • Day of forgiveness

Gifting Occasions
  • Referral (most important)
  • Birthday
  • Baby (Child / Grandchild)
  • Thank You
  • Engagement
  • Wedding
  • Holidays
  • Sympathy
  • Get Well
  • New Home (Primary / Vacation)
  • Retirement
  • Sold Business
  • Child's College Admission Or Graduation
  • Grandchild's College Admission Or Graduation

Gift Ideas

It's not how much you spend that impresses a client. It's the element of surprise and the relevancy to your client's interests. Per SEC & FINRA: FAs are allowed to give gifts to their clients assuming they're not excessive; nor quid pro quo. Gift limits apply.

Host Networking Dinner Party

 Host Networking Diner Party