Broker Awards - Financial Planning

This award aims to identify winning brokers licensed to implement financial planning and management for clients. We are looking for winners who possess the best knowledge and implementation for clients with financial planning needs.

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The company has undergone a stringent and rigorous process for on-boarding and off-boarding investments that goes beyond standard checkboxes. Please provide a workflow and screening process for fund/securities selection and under what circumstances they are off-boarded from the recommended list. (Minimum 200 words)
Please tell us your process. The firm has a clear and transparent financial planning process and protocol, and its licensed representatives have undergone a stringent training process that is not tied to product selling but to identify customers’ true underlying concerns, such as soft and hard risks, tax status, estate planning requirements, financial management, investment requirements, and suitability. (Minimum 200 words)
Please explain how new products are offered and whether risks associated with the products include their structure or legal and credit risks. Also tell whether the products’ complexity impairs investors’ understanding and the product’s transparency. (Minimum 200 words)
Please explain what tools are being used to help with risk profiling and product mapping and in the areas of life insurance, medical insurance, disability insurance, goals-based savings, retirement savings and draw-downs, etc. (Minimum 200 words)
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