How am I doing as your representative? Tuesday, May 21, 2019  

As your Investment Funds Representative, I'm continuously looking for ways to improve my service to you.

Thank you for taking a few moments to respond to the following statements regarding my performance in taking care of your needs over the past year. Your feedback is invaluable to me as I strive to provide you with a higher level of service in the coming year. I will summarize the results of this survey and share them with you at a future meeting.

If a friend asked you about your representative, how would you rate your relationship with in the following areas:
Name:   
Home e-mail:   
Work e-mail:  
  CLIENT SERVICE Below Expectations Meets Expectations Exceeds Expectations Not Applicable
1. Handling your account without mistakes and resolving any problems quickly
2. Providing educational materials and support
3. Living up to my commitments and meeting deadlines
4. Making you feel like a valued client
5. Acting in your best interest
6. Being honest with you in dealing with your affairs in a professional and confidential manner
  COMMUNICATION Below Expectations Meets Expectations Exceeds Expectations Not Applicable
7. Providing written communications/statements:
 
 
 
 
  a) on a frequent basis
  b) that are high quality
8. Explaining all financial matters to your satisfaction
9. Contacting you by phone
10. Making myself available to discuss your financial affairs
11. Providing you with information via my:
 
 
 
 
  a) Financial newsletter
  b) Client appreciation nights
  c) Seminar series
  d) Web site
  FINANCIAL PLANNING Below Expectations Meets Expectations Exceeds Expectations Not Applicable
12. Identifying your financial goals
13. Suggesting objective and unbiased solutions to help you reach your goals
14. Designing a detailed and comprehensive financial plan
15. Reviewing your financial situation regularly to ensure it continues to reflect your goals
16. Maintaining an up-to-date picture of your financial affairs
17. Making you aware of up-to-date tax information, estate planning news, etc. that might affect you
  INVESTMENTS Below Expectations Meets Expectations Exceeds Expectations Not Applicable
18. Helping determine your risk profile
19. Explaining your investment options and my recommendations clearly
20. Getting you into solid-performing investments:
 
 
 
 
  a) How satisfied are you with the short-term performance of your investments over the past 12 months?
  b) How satisfied are you with the mid-term performance of your investments over the past 1-5 years?
  c) How satisfied are you with the long-term performance of your investments over the past 6+ years?
21. What is the one thing I could do to improve the level of service I provide you in the coming year?
22. Is there an important life event (wedding/inheritance/new baby) that I haven't addressed?
23. How frequently do you expect to hear from me, either via written communications, on phone or face to face? Monthly Quarterly Semi-annually Annually
24. Are you interested in receiving information from me via e-mail?

If so, where would you like to receive it?
Home
Work
Yes No     
25. Which financial publications do you read the most? Which non-financial publications do you read the most?
26. Are you interested in learning more about:
Estate Planning
Tax planning
Financial security planning
Retirement planning
27. Do your (adult) children work with a financial advisor? Yes No    
28. Do your parents work with a financial advisor? Yes No    
29. Are you comfortable in recommending my services to your relatives, close friends or co-workers? Yes No    
If so:
  Do you have any other comments or questions?