Quarterly Compliance Questionnaire
2nd Quarter 2020
To be completed by the Person in Charge of the Branch
During this volatile market and time of uncertainty, what should you do to calm your clients and assist them in moving through this time? Urge your clients to not act on emotion and remind them you worked together to create their investment portfolio. That includes clients with mutual funds or variable annuities held direct with vendors as well as clients with brokerage accounts and fee based managed accounts. Stay in contact with your clients and let them know you are available to talk about their concerns. Don’t go silent.