Referring Investment Clients


Provides an overview of securities products commonly offered by banks and explains how to detect clues to identify the clients’ recognized and unrecognized financial needs. Explores the effective referral model to help clients see the value in referral suggestions and in meeting with an investment specialist.

Audience: Bank personnel who manage client relationships and/or who are in a position to identify referral opportunities to licensed specialists.

Learning Objectives:

  • Identify key regulations and guidelines banks must follow when offering investment products
  • Identify benefits and risks associated with investment products
  • Describe the basic features of common investment products
  • Recognize clues and gather information to support and enhance a referral
  • Use the Effective Referral Model to make needs-based, professional referrals
  • Address common client concerns about following through on a referral

Note: The Effective Referrals Suite must be taken at least once before taking this course.

The New York Bankers Association is a Local ABA Training Provider.

NYBA Professional Development at (212) 297-1679 or
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Member $95
Non-Member $130

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To license this course for multiple learners, contact NYBA Professional Development.