This document provides templates for two letters - one for a client to introduce their financial advisor to a referral, and one for the financial advisor to follow up with the referral. The client letter template asks the referral to have a brief phone conversation with the advisor to determine if they could be a potential resource. The advisor follow up letter states that the purpose of the call would be to ask and answer questions to determine if the advisor could help the referral meet their financial goals. Both letters emphasize that the advisor does not assume the referral currently has concerns or would need their assistance.

1. “I” LETTER # 1
This should look like it was printed off of your client’s stationery.
Print the body of the letter for the client to sign. Then run the letter back through the
printer and print the client’s name and address, and the
“Dear …” part of the letter.
YOUR CLIENT’S NAME
ADDRESS
CITY, PROVINCE, POSTAL CODE
Insert Date
YOUR REFERRAL’S NAME
REFERRAL’S ADDRESS
CITY, PROVINCE, POSTAL CODE
Dear (referral),
The purpose of this letter is to introduce you to _______________ because, based on
my/our experience of his/her service in the areas of personal investment, tax and estate
advice, he/she continues to meet my/our expectations and has earned my/our trust.
______________ works with referred individuals who have doubts about the service or
advice they are currently receiving and are seeking alternatives.
I/We don’t assume you have significant worries in these areas or are considering
a second opinion, even if you did.
However, because situations sometimes change, it may make sense for you to have a
brief phone conversation with ______________ now to quickly determine if s/he could
be a potential resource for you.
Best regards,
(Your client signs here)
P.S I/WE would like to have ______________ contact you. Please let me/us know if
you prefer him not to.

2. “ME” LETTER #1
NOTE: Any letter you send to prospects and clients must be consistent with your company’s rules and
should be submitted to your compliance/legal department. Also, follow-up calls to prospects must be
conducted in accordance with your company’s telemarketing rules and Do-Not-Call rules.
Businesslike
Insert Date
Referral’s Name
Referral’s Address
City, Province, Postal Code
Dear (referral’s name),
Mr. and/or Ms. __________ suggested we speak. The purpose would be to ask you
some questions and to let you ask me some questions.
I am in the business of helping people set and meet their long-term financial goals. It is
a business of service. Its success is dependent on building relationships that have trust
as their foundation.
I do not assume that you have any concerns with these issues or any other
aspect of your finances, or that I could help you, even if you did.
The purpose of the call would be to have a brief conversation so that we can quickly
determine whether or not I could be a resource.
I will phone to discuss this in one week.
Sincerely,
(your name)
C.F.P.
P.S. Feel free to call (your client’s name) and ask about the work I have done for (him,
her or them).