Financial Advisor Self Evaluation

I am willing to delegate tasks (some that I currently perform effectively) to my team members so I can focus on my critical objectives.

yes

no

I will fully and consistently utilize a networked “contact manager” to its full capacity. (i.e., unified schedule, digital tasking, extensive notebook taking)

yes

no

I will commit to utilizing a comprehensive, in depth and written financial planning process

yes

no

I commit to a uniform investment philosophy around which our team will operate (must be in writing)

yes

no

I am prepared to combine all assets with all other FAs on the team under one joint production number

yes

no

As the team’s assets and production grow, I understand that production will move towards parity over time

yes

no

I am willing to make collaborative decisions about critical issues regarding the structure and direction of the team

yes

no

I commit to support a disciplined work environment, which may include a daily huddle, weekly collaborative meetings, monthly developmental meetings and annual planning meetings

yes

no

I am willing to incorporate an in depth collaborative meeting weekly with the team

yes

no

I am willing to bonus support staff based on team growth and productivity

yes

no

I am willing to promote the team to my current clients and help them develop relationships with these clients by integrating their expertise into the planning process

yes

no

I will help establish roles, responsibilities and goals for individuals to contribute to overall team performance

yes

no

When differences arise on the team, I will actively participate in seeking resolution in a positive, proactive way

yes

no

I am willing to segment and reduce (if necessary) the size of my book to a manageable size

yes

no

Financial Advisor Self Evaluation

Financial Advisor Self Evaluation

FA Team Self-examination