Employee Performance Review Checklist

Pull last review's signed goals, mid-year check-in notes, and the employee's self-assessment from the HRIS or compliance file. For licensed staff, include the prior CE attestation and any FINRA / state IAR registration changes during the period.

Verify role (Advisor / IAR / RR / Paraplanner / CSA / Ops) and current registrations on FINRA BrokerCheck or the IAPD. Note any U4 amendments filed during the period — disclosures, address changes, OBA updates — so the review reflects the supervisory record.

Request input from 3-5 peers, the supervising principal, and (where appropriate) a small set of long-tenured clients. For client-facing roles, ask about responsiveness, clarity of explanations, and follow-through on planning deliverables. Keep client outreach brief and avoid implying any change in service.

Rate each prior-period goal Met / Partially Met / Not Met against the SMART criteria captured at goal-setting. Tie attainment back to evidence in the KPI report rather than impressions.

Review the period's supervisory log: principal review exceptions, advertising / social media pre-approval rejections, off-channel comms findings, gift & entertainment log entries, personal trading violations, and any complaints. Note CCO sign-off status on each item.

Evaluate accuracy of work product — Reg BI rationale documentation, financial plan deliverables, NIGO rates on new accounts, ACAT reconciliation, RMD processing, fee billing accuracy. Reference specific cases where quality drove a good or bad client outcome.

Confirm Series 7 / 65 / 66 / 24 status on FINRA BrokerCheck, the IAR Continuing Education requirement (state-by-state, 12 credits annually under the NASAA model), Regulatory Element CE windows, and any state insurance producer CE. Flag any license expiring within 90 days.

For any lapsed or near-expiring credential, document the remediation: scheduled CE courses, exam window, U4 amendment if needed. Coordinate with the CCO so supervisory restrictions can be put in place if a license is expected to lapse.

Map gaps to the firm's competency model — planning depth, tax planning fluency (Holistiplan / FP Alpha), portfolio construction, behavioral coaching, prospecting, ops accuracy. Be specific: "needs reps on Roth conversion modeling in eMoney" beats "improve planning skills."

Discuss the natural next credential for the role: CFP for advisors and senior paraplanners, CFA for the investment team, CPWA / CIMA for HNW practitioners, CTFA for trust officers, FPQP for CSAs moving toward planning. Confirm firm sponsorship policy and study-time expectations.

Walk through scored attainment, supervisory record, 360 themes, and the development plan. Lead with strengths tied to specific client or team outcomes; raise gaps with concrete examples, not generalities. Allow the employee to respond before closing each section.

Co-author 3-6 goals that are specific, measurable, achievable, relevant, and time-bound. Include at least one growth goal (production / new clients / plans delivered), one quality goal (NIGO, accuracy, response-time SLA), and one development goal tied to the credential or skill plan.

Finalize the written review, capture the overall rating, collect the manager and employee e-signatures via DocuSign, and route any compliance-flagged items to the CCO for separate sign-off. The signed file lives in the employee's HR record.

Draft a 60- or 90-day PIP with weekly check-ins, named deliverables, and clear consequences. For licensed staff, coordinate with the CCO on any heightened supervision plan and document it per FINRA Rule 3110. Loop in HR before delivery.