Building your case
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New member to the board and wanted to share some valuable advice I received from a senior broker years ago when I first got in the business. Always remember to treat each potential client with utmost respect and due care in regards to their accounts, but also remember to document every single conversation, date, time and decisions no matter what it pertains too.
You have no idea how valuable this information and documentation will become if you ever have any clients become unhappy and it does not necessarily have to be from a volatile or down market. I have seen some clients become restless if you don’t beat the indexes by 5 - 10% on a year over year basis. Everyone reacts differently when it comes to money.
Despite the majority of Reps always keeping their clients best interests in mind, I have seen this industry change quite a bit in my time and unfortunately the minority of shady characters in this industry have brought about changes in how we have to deal with clients on a day to day basis to protect ourselves.