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COMPLIANCE

Jeff Bergman's Approach

ADVISOR DISCLOSURE FORM

It is my responsibility to provide disclosure (i.e., nature of relationships, conflict of interests, privacy, etc.) for each individual client prior to the signing of an application.

CLIENT EXPECTATIONS

Build trust and ensure that relationship expectations with clients are met.

FACT FIND

I make sure to research and outline true detailed facts found for every client’s financial situation.

NEEDS & ASSESSMENT

To ensure that my recommendation(s) are appropriate to the needs of the client as determined by a needs-based assessment.

REASONS WHY LETTER

Summarizing my insurance advice and recommendations in a letter that each client  will sign

ADVISE & RECOMMENDATION

Providing timely and appropriate advice that fits into the client’s lifestyle and needs.

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