Get the free Client Relationship Summary

This document provides a summary of the brokerage services offered by Carleton McKenna Advisors, LLC, including information about fees, relationships, and client responsibilities. It aims to help clients understand the differences between brokerage and investment advisory services and outlines important questions for clients to consider.

How to fill out client relationship summary

How to fill out client relationship summary

1. Start with the client's basic information, including name, contact details, and company name.
2. Describe the nature of the client-business relationship.
3. Include details about the client's needs and objectives.
4. Note any previous interactions, meetings, or communications.
5. Document agreements, contracts, or commitments made.
6. Specify any challenges faced in the relationship and potential solutions.
7. Highlight key individuals involved in the relationship from both sides.
8. Conclude with next steps and follow-up actions.

Who needs client relationship summary?

1. Account managers overseeing client accounts.
2. Sales teams to understand client needs.
3. Customer support for delivering better service.
4. Marketing teams for targeting and outreach.
5. Project managers coordinating on deliverables.
6. Executives for strategic decision-making.

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What is client relationship summary?

A client relationship summary is a document that provides important information about a financial service provider, including the services offered, fees, and potential conflicts of interest, to help clients make informed decisions.

Who is required to file client relationship summary?

Investment advisors and broker-dealers 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 clear and concise information about their services, fees, applicable conflicts of interest, and other essential details in a prescribed format. It typically includes specific sections that must be completed with relevant information.

What is the purpose of client relationship summary?

The purpose of a client relationship summary is to enhance transparency and help clients understand the nature of their relationship with their financial advisor or broker-dealer, including services provided and associated costs.

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 legal obligations to clients, conflicts of interest, and disciplinary history.