Referring Investment Clients

Course Number: RIC1

Course Code: ABA 161

This course provides an overview of securities products commonly offered by banks and explains how to detect clues to identify the clients’ recognized and unrecognized financial needs. This course explores the effective referral model to help clients see the value in referral suggestions and in meeting with an investment specialist.

Learning Objectives
After completing this course, students will be able to:
– Identify key regulations and guidelines banks must follow when offering investment products
– Identify benefits and risks associated with investment products
– Describe the basic features of common investment products
Recognize clues and gather information to support and enhance a referral
– Use the Effective Referral Model to make needs-based, professional referrals
– Address common client concerns about following through on a referral

Audience: Bank personnel who manage client relationships and/or who are in a position to identify referral opportunities to licensed specialists

Prerequisites: Effective Client Referrals

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Member Price: $95.00
Non-Member Price: $130.00
Textbook Charge: $0.00


Length: 35 minutes

ABA Training