Workflow Templates: Client Review Checklist

Confirm client's full legal name and any aliases

Verify current residential address and contact information

Check client's date of birth and social security number

Review client's employment status and employer details

Update client's marital status and dependents information

Assess current income streams and amounts

Evaluate total assets including bank accounts, investments, and property

Review liabilities such as loans, credit card debts, and mortgages

Analyze recent bank statements and transaction history

Check for any changes in client's financial goals and risk tolerance

Review performance of current investments

Compare current portfolio allocation to client's risk profile

Identify underperforming assets and potential rebalancing opportunities

Discuss any new investment opportunities or strategies

Update beneficiary information for investment accounts

Ensure all client documentation is up-to-date and complete

Check for any outstanding regulatory disclosures or requirements

Verify compliance with anti-money laundering (AML) regulations

Confirm client's understanding and acknowledgment of key policies

Document any compliance-related issues or concerns

Discuss client's overall satisfaction with services provided

Gather feedback on any recent transactions or interactions

Address any client concerns or questions

Identify opportunities for service improvement

Schedule next review meeting or follow-up action

Client Review Checklist