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Change of Financial Adviser
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Change of Financial Adviser

1
Role assignments
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Identify Inherited Clients
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Contact Inherited Clients
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Schedule Review Meetings
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Prepare Financial Review Material
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Conduct Financial Review Meetings
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Document Meeting Notes and Suggestions
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Approval: Review Report
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Prepare Change of Adviser Forms
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Send Forms to Clients for Signing
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Receive Signed Forms from Clients
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Submit Form for Change of Adviser
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Approval: Change of Adviser
14
Notify Client of Adviser Change
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Update Client Database Records