Client Referrals

Referring clients is a practice that allows a person to direct an existing or potential client to another person for this person to provide them with the services they need, including the sale of financial products.

Client referrals generally have two forms. They may first consist of providing an advisor or another professional (accountant, tax advisor, etc.) with a client’s contact information, with their consent, or a list containing the contact information of multiple clients, with their consent. They may also consist of providing a client with the contact information of a representative, a registered entity (firm, independent partnership, independent representative (advisor), dealer) or another professional (accountant, tax advisor, etc.).