Financial Advisor Referral Agreement

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Updated April 21, 2022

A financial advisor referral agreement is between a company and an affiliate that agrees to bring clients to the advisor in return for payment. The payment is usually a fixed amount and occasionally the advisor will pay a combination of clients referred directly by the affiliate and leads, most commonly in the form of e-mail addresses.

Upon successful signup or leads provided the affiliate is to be paid the amount stated in the agreement. In most cases, an affiliate is paid on a tiered system with higher commission amounts paid for more volume.

Financial Advisor Consultant Agreement – To enter into an agreement with a company to handle assets and investments.

Exclusivity

If leads are included as part of the agreement, most likely the financial advisor will require that the affiliate is providing the leads on an exclusive basis. Therefore, the financial advisor is not exposed to any of their competitors having the same marketing information.