The Client Check In – Asking the Right Questions

The surest key to success as an Investment Advisor is satisfied clients.

Losing one client can be very costly to your practice. It’s critical to turn a complaint into a positive experience for the client and for the advisor moving forward.
“When customers share their story, they’re not just sharing pain points. They’re actually teaching you how to make your product, service, and business better. Your customer service organization should be designed to efficiently communicate those issues.” – Kristin Smaby, “Being Human is Good Business”

70% of buying experiences are based on how the customer feels they are being treated.

So…You found a client and you have met with them. You took the time to get to know them and ask all the expected open ended questions. The client told you what problems they are faced with and goals they have for their future. You’ve closed with a well thought out practical solution with a knock’em dead presentation. The client has opened their account and you’ve been in their service for a couple of weeks.

Now it’s time to check in.

Email surveys are very impersonal. If you really want to know what the client thinks about the service they have received from your team you have to take the time to ask them.

Step 1:
Schedule a short 30 minute meeting. Let’s call it a “close the loop meeting”. Ask the client to discuss any questions they may have now that the financial plan is in motion.

Step 2:
Ask three big questions
1. Do you have any lingering questions about the plan we have employed for you?
2. Tell me about the service you have received from our team. Follow up with :
Did we meet your expectations?
3. Is there anything we can do better in the future?

It’s crucial to take notes and listen. This is your chance to learn about what matters to your client and understand them better.

Step 3:
Now the big question.
How comfortable would you be recommending my services?

Step 4:
The closing the loop meeting should also include some questions regarding the client’s current needs. Are they currently working with a lawyer, accountant, or other professional advisor? If so are they happy with the relationship? You are in a position to let them know you are working with a select group of professionals and can offer a referral. You will add value for your clients and for your centers of influence.

You are the quarterback for the client financial services team.


Taking the time to close the loop with clients and personally ask them about the service they’ve received is a difficult thing for some people to do. However, the benefits to your practice will be great. You will have happy clients and a large circle of professionals who will feel confident referring clients to your top notch team!
We are looking for talented people who are motivated to make a real difference with their careers. People with drive, determination and a desire to serve the community they live in. Becoming a Chippingham Financial Group Advisor empowers you to help people achieve lifetime financial security by providing holistic advice. It’s a rewarding place to be. You run the business. You are in control of your own success.

Please contact Cliff Pereira, President at (647) 346-4523 or