Appointment setting services for financial advisors & wealth firms

AssistBPO's appointment setting services for financial advisors and wealth firms book discovery meetings with seminar registrants, referrals, plan participants and past prospects, and fill review calendars by phone, all with lawful consent, do-not-call scrubbing and the telemarketing rules that apply to your firm.

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This page Financial advisors & wealth firms Appointment setting services

How does appointment setting work for advisors?

Advisors attract interest through seminars, webinars, client referrals and retirement plan relationships, and the follow-up call is where most of it is lost. Your AssistBPO setter works your hours from lists you approve in Redtail, Wealthbox or Salesforce: registrants called within a day of the event, referrals contacted after the introducing client has made the connection, plan participants who requested a meeting, and clients due a review who have not booked. Every call runs through your recorded, archived phone system with the recording notice, follows a script your compliance officer has approved, and never discusses products or performance. Bookings land on the advisor's calendar with notes, and the held rate is reported weekly. No cold lists, no purchased consent, no robocalls.

What tasks does appointment setting cover for financial advisors and wealth firms?

  • Call seminar and webinar registrants within a day with lawful consent and do-not-call scrubbing
  • Follow up client referrals after the introduction and book discovery meetings
  • Contact plan participants who requested a meeting and book with the advisor
  • Call households due a review who have not booked, from the CRM campaign list
  • Log every call, outcome and consent status in the CRM
  • Send confirmations and reminders and re-book when prospects slip
  • Report weekly on calls, conversations, meetings booked and held
  • Hand booked meetings to the advisor with a prep note

The KPI that matters here

Discovery meetings held per month from seminars and referrals, and the held rate against meetings booked. Review bookings from outbound calls feed the reviews-held number.

What rules does appointment setting follow for advisors?

  1. GLBA Safeguards Rule and Regulation S-P. Client nonpublic personal information is handled under your written information security program: least-privilege access, MFA, managed devices, no local storage and no data outside your systems, consistent with the FTC's Safeguards Rule (16 CFR Part 314) and the SEC's Regulation S-P for registered advisers.
  2. No licensed advice, no money movement. Assistants never give investment, tax or insurance advice, quote performance, recommend products or execute transactions. Money movement requests are captured and routed to licensed staff for verification under your policy and the rules of the SEC, FINRA and your state regulator.
  3. Books and records and supervision. Every client email, text and call runs through your archived and supervised channels, consistent with Advisers Act Rule 204-2 and FINRA Rules 3110 and 4511. Assistants never contact clients from personal phones or unarchived apps.
  4. Recording notices and the Marketing Rule. Calls carry a recording notice in two-party consent states such as California and Florida. Social posts, testimonials and seminar materials go through your compliance pre-approval under the SEC Marketing Rule (206(4)-1) and FINRA Rule 2210.

Advisors software we work in

Also in use

  • Redtail CRM
  • Wealthbox
  • DocuSign

See all 80 tools we work in

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Frequently asked questions

Is outbound calling compliant for an advisory firm?

Yes, when it follows your rules and the regulators'. The setter calls only lists you approve with a lawful basis, such as event registrations, referrals and existing clients, scrubbed against the National Do Not Call Registry and your internal list, inside TCPA calling hours, through your recorded and archived phone system with the recording notice. FINRA Rule 3230 telemarketing requirements apply where your firm is a broker-dealer. We never use purchased lists, robocalls or autodialers to mobiles without consent.

What can the setter say on a call?

Only what your compliance-approved script allows: who they are, why they are calling, what the meeting is and when the advisor is available. The setter never discusses products, performance, fees beyond what is on your approved materials, or anything that could be construed as advice. Questions of that kind are noted and passed to the advisor for the meeting. Recordings are reviewed weekly by the team lead against the script.

How are booked meetings handed to the advisor?

Each booking lands on the advisor's calendar with a prep note: name, source such as the workshop date or the referring client, what prompted interest, any questions raised, the consent record and the intake questionnaire link sent. The setter sends the confirmation and a reminder the day before, and re-books if the prospect asks to move. The weekly report shows booked versus held so you can see which sources produce meetings that happen.

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