Sample Scripts for Financial Advisors

Here you will find example scripts for financial advisers to help you get the conversation going, gather the relevant details you need, and secure that all-important initial consultation.

Whether you are reaching out to new prospects, asking for referrals, or simply trying to get a callback, these templates will set you on the right path to closing more business and building your client base.

Cold Calling Introductions

When reaching out to a prospect who hasn't directly enquired, your introduction needs to be professional, value-driven, and respectful of their time. We recommend starting things off with the following:

“Hello, is it convenient to speak with [Mr/Mrs Client Name]? It’s [Your Name] calling from [Your Company Name]. How are you today?

“I know I am catching you out of the blue, but the reason for my call is that we are currently working with several [professionals/families/business owners] in [Local Area or Specific Industry], helping them navigate recent changes in tax allowances and optimise their retirement planning.

“I’m not looking to sell you anything today. I just wanted to introduce myself and see if you would be open to a brief, complimentary conversation to see if our wealth management strategies could benefit you?

“Just to make you aware, [Your Company] is fully regulated by the FCA for providing independent financial advice. Here at [Company Name], we have access to the whole of the market, so I am confident I can provide you with the best advice depending on your circumstances.”

Referral Scripts

Word of mouth is often the best way for a financial adviser to grow their practice. The best time to ask for a referral is during a client review meeting when the client has just expressed satisfaction with your service.

“I’m really glad to hear that you’re feeling more confident about your retirement plan since we started working together, [Client Name].

“As my practice grows, I find that my best clients come from introductions from my current clients. If you have any friends, family members, or colleagues who you feel might benefit from the same kind of financial review we’ve just done, I would love to be a resource for them.

“Is there anyone who comes to mind right now who might appreciate a no-obligation chat about their pensions or investments?”

(If they say yes):

“That’s great. What do you think would be the best way to introduce us? I’d be happy to send you a brief email that you can forward on to them, or if they prefer, you can pass along my direct number.”

Voicemail Scripts

If your prospect doesn't answer, your voicemail needs to be brief, intriguing, and professional. You want to leave enough information to sound credible without overwhelming them.

For Cold Outreach:

“Hello [Client Name], it’s [Your Name] from [Company Name]. I’m calling because we’ve been helping individuals in [their industry/location] streamline their investment portfolios and plan for a secure retirement. I had a quick idea I wanted to run by you to see if it might be a fit for your current financial goals. I’ll try you again on [Day] at [Time], but if you’d like to speak before then, you can reach me directly on [Phone Number]. Once again, that’s [Your Name] from [Company Name] on [Phone Number].”

For Following Up on an Enquiry (Warm Lead):

“Hello [Client Name], it’s [Your Name] calling from [Company Name] regarding your recent enquiry about [pensions/investments/wealth management]. I have some information ready for you and just need to confirm a couple of quick details. Please give me a call back on [Phone Number] when you have a free moment. I look forward to speaking with you.”

Appointment Setting

Once you have built a little rapport and identified a prospect's basic financial needs, it is time to close for the appointment. Assume the appointment and give them an "either/or" choice to lock in a time.

“Based on what you’ve shared with me about your current pension setup and your goals for the future, the good news is that it’s evidently clear this is going to be well worth your while to have a free initial consultation with one of our advisers.

“All we need to do now is arrange a convenient time where we can sit down with you for about 45 minutes to an hour so we can run through some tailored options. What would suit you best - would you prefer a daytime or an evening appointment?

(Wait for their preference)

“Right, I have availability on [Day] at [Time] or [Day] at [Time]. Which of those works best for your schedule?

“Excellent, the appointment is booked for [Date and Time]. My name is [Your Name] and I will send you an email and a text message confirmation of the appointment now to [Mobile Number]. That way, if you have any questions you can call me back.

“We will also give you a quick call the day before the appointment just to make sure everything is still OK. If you need me in the meantime, you’ve got my name and number, so feel free to give me a ring at any time.”

If you're an independent financial adviser looking for business, head to our IFA page to find out what kind of leads you can buy from us.