Referring Investment Clients


Provides an overview of securities products commonly offered by banks and explains how to detect clues to identify the clients' recognized and unrecognized financial needs. Explores the effective referral model to help clients see the value in referral suggestions and in meeting with an investment specialist.  

Re-versioned: May2016
Updated: June 2015

Learning Objectives

After completing this course, students will be able to:
  • Identify key regulations and guidelines banks must follow when offering investment products
  • Identify benefits and risks associated with investment products
  • Describe the basic features of common investment products
  • Recognize clues and gather information to support and enhance a referral
  • Use the Effective Referral Model to make needs-based, professional referrals
  • Address common client concerns about following through on a referral​ ​

Audience

Bank personnel who manage client relationships and/or who are in a position to identify referral opportunities to licensed specialists.

Note: The Effective Client Referrals course must be taken at least once before taking this course.








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​Questions? Please contact training@aba.com for more information.
 

 Benefits of Self-Paced Training

 
  • Ultimate flexibility
  • Quizzes to support learning
  • Mobile format available
 

 Registration & Pricing

 

Individual Purchase:
ABA Member • $95
Non-Member • $130

Purchase for a Team:
To license this course to your bank for multiple learners, please contact ABA Training.

 

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