The busy life of a stockbroker can sometimes make it difficult to keep track of all of your clients. Even those brokers who have only a few clients will want to ensure that they have all of the information about each individual readily available. Those who have many clients will find that proper order and tracking are essential to the success of themselves and their clients. Tracking clients properly will ensure that your day-to-day operations run smoothly.
Make backups of all of your electronic files. Use an external hard drive to copy this information. You should also make frequent backups on disk. If anything should happen to the computer or the external hard drive, you will still have a copy of the information you need.
Obtain client tracking software so that you can begin tracking clients and keeping the records in your computer. Many companies offer software that will allow you to keep track of all of your clients. You can find software that will help you track clients as a stockbroker at www.avidian.com. (See Resource 1.)
Keep hard copies of the information as well. A traditional filing system, such as a filing cabinet, can hold all of your client information easily. It is good to have this as a backup in case anything happens to your electronic files. Keep the files in alphabetical order, with the last name first, so that you will be able to find the files on each client easily. Buy a cabinet that offers fire protection as well as locks to ensure the safety of the files as well as the privacy of the client. (See Resource 2.)
Find out all of the information you need to have on your clients during those initial meetings. Learn the phone numbers, email addresses and all other contact information that you might need as well as the details of their investment portfolio and their goals. Keep all of this information together so that it is easy for you to access. As soon as you have the information you need, begin the file for the client.
Update the files as necessary. Whenever there are changes with your client, whether they sell stock or buy stock, make sure you input the information into the software for tracking clients right away. You will also want to update the hard copies that you have in your files at this time.
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