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Client Advice Record Client: Needs To be Identified ID No: Product’s) Recommended Product’s) Declined Details We confirm that the following has been effected: 1. 2. 2. 3. 4. Your vehicle has been
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How to Fill Out Record of Advice:

01
Begin by gathering all necessary information, such as the date, client's details, and relevant details about the advice given.
02
Fill in the date and time of the advice session.
03
Provide the client's name, contact information, and any other identifying details required.
04
Document the nature of the advice given and any recommendations or instructions provided.
05
Include any important details about the client's situation that influenced the advice given.
06
Clearly state the risks and benefits associated with the advice and ensure they are properly explained and understood by the client.
07
Sign the record of advice and ask the client to sign as well to acknowledge receipt and understanding.
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Make sure to keep a copy of the record of advice for your records.

Who Needs Record of Advice:

01
Financial advisors and planners often need to keep records of the advice given to their clients.
02
Lawyers and legal professionals may also need to maintain a record of advice given to their clients for legal and compliance purposes.
03
Medical professionals may need to record advice given to patients to ensure proper follow-up and continuity of care.
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Record of Advice (ROA) is a document that outlines the details of a financial advice given to a client by a financial advisor.
Financial advisors or planners are required to file record of advice for each client they provide financial advice to.
Record of Advice can be filled out by including client details, details of the advice provided, any recommendations or actions suggested, and the advisor's signature.
The purpose of record of advice is to ensure transparency and accountability in financial advice given to clients and to document the details of the advice for future reference.
The record of advice must include client details, advice details, advisor details, date of advice, any recommendations made, and the advisor's signature.
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