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This document outlines the investment advisory services provided by First Trust Investment Solutions L.P. (FTIS), clarifying the differences between brokerage and investment advisory services, the types of accounts offered, fees charged, and the fiduciary obligations of FTIS as an investment adviser. The document also highlights the importance of understanding the fees, services, and potential conflicts of interest associated with the advisory relationship.

How to fill out client relationship summary

How to fill out client relationship summary

1. Start with client identification: Include the client's name, contact information, and relevant account details.
2. Summarize the client's goals: Clearly outline what the client wants to achieve.
3. Assess the client’s needs: Identify the services or products that meet the client's goals.
4. Document client interactions: Record key communications and meetings to track relationship progress.
5. Highlight any challenges: Note any obstacles the client may face and strategies to address them.
6. Outline the next steps: Define actionable steps moving forward to strengthen the client relationship.

Who needs client relationship summary?

1. Sales teams to enhance client engagement and tailor their approach.
2. Client service representatives for better assistance based on client history.
3. Managers for oversight of client relationships and strategy adjustments.
4. Marketing teams to align campaigns and messages according to client preferences.

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What is client relationship summary?

The client relationship summary is a document that provides important information about a financial advisor's relationship with their clients, including services offered, fees, and potential conflicts of interest.

Who is required to file client relationship summary?

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

How to fill out client relationship summary?

To fill out the client relationship summary, advisors must provide clear and concise information regarding their services, fees, and strategies, as well as disclose any conflicts of interest and provide guidance on how clients can engage with the advisor.

What is the purpose of client relationship summary?

The purpose of the client relationship summary is to enhance transparency and help clients make informed decisions about their financial relationships by summarizing key information about the advisor's services.

What information must be reported on client relationship summary?

The client relationship summary must include information about the firm, services provided, costs and fees, conflicts of interest, disciplinary history, and how clients can obtain more information.