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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: May 2016
Updated: June 2015

What You'll Learn

After successfully completing this course, you 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


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

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

​Questions? Please contact for more information.




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


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