Initial Client Contact

Hi there
We are currently reviewing all of our processes to improve efficiency etc. One area I notice we fall down on is the initial client contact ie when the client contacts us at first. I had been thinking of making up a flowchart/questionnaire to be used when taking an initial call for a client to try and pinpoint exactly what they are looking for. At the moment it is a bit of a hit or a miss ie Mrs X called, she wants to talk to someone about pensions... but depending on who has taken the call, we may not know much more than that. The adviser not too keen just to speak to every single enquiry. Just wondering what other people do? I think we all need to be following the same process and at the moment we dont!


  • Hi Alice

    I think it is very difficult (and possibly not the best route) to get into too much detail of exactly what the client is looking for at first point of contact. However, I do think it is important to establish the basics, such as:

    Where did they hear about us (if recommended, who by?), what they are looking to achieve from the appointment, obtain GDPR consent and take name, address, email, tel no and tell them to expect an email which will confirm appt, list any documents they need to provide and will also have copies of our Client Agreement, Privacy Notice etc attached.

    In terms of what they are looking to achieve for example... for a mortgage enquiry we would expect the Administrator to establish:

    Are they FTB, home movers or looking to remortgage? What stage are they at? Names/basic details of both applicants (if relevant). Our team would also make a note of anything the clients specifically mention themselves (e.g. if they are concerned re credit history, if they are doing anything non-standard such as a self-build).

    Depending on the experience of the staff, a list of essential info could be helpful, but my feeling would be that a flow chart could become a bit impersonal if used too rigidly.

    Just my opinion, but hope that helps.


  • CHMDMC00CHMDMC00 Member, Moderator

    Hi, I have a script that I have used in the past with an Adviser, happy to email the contents over to you if it would help? It summarises the info that the Adviser wanted me to give out at that point, and also the info that they wanted me to capture. Obviously every firm will differ, but it might help as a starting point and give you a few ideas.

  • Hi @CHMDMC00, I am only just seeing this. Thank you that you would be really helpful. I can PM you my email address. Thanks

  • CHMDMC00CHMDMC00 Member, Moderator

    Hi - just spotted your message, thanks for that. Will ping it over for you later today,
    Thanks, Debbie

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