Get the free Client Relationship Summary

This document provides an overview of OpenDeal Broker LLC\'s services, including its role as a broker/dealer and the key distinctions between brokers and investment advisers. It outlines the fees and relationships ODB has with its clients and investors, as well as important disclosures about conflicts of interest and the absence of investment advice provided by the firm.

How to fill out client relationship summary

How to fill out client relationship summary

1. Gather basic client information including name, contact details, and company.
2. Outline the purpose of the relationship summary, including key objectives and desired outcomes.
3. Detail the history of interactions with the client, including meetings, communications, and transactions.
4. Identify key stakeholders involved in the relationship from both sides.
5. Summarize any agreements, terms, or contracts relevant to the client relationship.
6. Highlight any challenges faced and solutions that were implemented.
7. Include future action items and follow-up dates to ensure ongoing engagement.

Who needs client relationship summary?

1. Sales and business development teams to maintain client relationships.
2. Customer service teams for better client support.
3. Management for strategic decision-making.
4. Marketing teams to tailor campaigns based on client profiles.
5. Account managers to track client engagement and satisfaction.

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What is client relationship summary?

A client relationship summary is a document that provides clear and concise information about the business relationship between a client and a financial advisor or firm, including services offered, fees, and any potential conflicts of interest.

Who is required to file client relationship summary?

Financial advisors and firms that are registered with the SEC or state regulators are required to file a client relationship summary.

How to fill out client relationship summary?

To fill out a client relationship summary, firms must provide specific information in a standardized format that includes services offered, fees, potential conflicts of interest, and how the firm engages with clients.

What is the purpose of client relationship summary?

The purpose of a client relationship summary is to enhance transparency and help clients make informed decisions about their financial advisors by presenting essential information clearly.

What information must be reported on client relationship summary?

The client relationship summary must report information such as the types of services offered, fees and costs, the firm’s disciplinary history, conflicts of interest, and the investment approach.