Financial Services Sales Agent how-to

How to Document a Client Recommendation

Documentation protects clients and firms.

Updated By the Career Education Institute Curriculum Team
Quick answer

Documentation protects clients and firms. In short: record; note; disclose, then complete the remaining steps below.

Step by step

  1. Record client goals and profile.

  2. Note recommendations and reasons.

  3. Disclose costs and risks.

  4. Record client decisions.

  5. File notes in the CRM.

  6. Follow compliance procedures.

Safety reminders for financial services sales agents

  • Follow FINRA and SEC rules
  • Protect client data
  • Avoid conflicts of interest
  • Manage stress during volatile markets

Stock · Bond · Mutual fund · ETF · Portfolio · Asset allocation: see the full financial services sales agent glossary.

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