CFG Advisor Support

CFG Human Resources is available to provide guidance to our advisors regarding hiring and managing their staff.   A library of current resources is available to all for reference and use. Please don’t hesitate to reach out to Colette Lemarier clemarier@financialguide.com for assistance.

Advisor resources, all in one spot.

Find what you are looking for below.

Hiring Resources

Performance Resources

  1. Research: Why, What, How much

  2. Job Description; Requirements

  3. Notify the agency of search (i.e. posting assistance, tech needs, upcoming training options). See Indeed Job Posting Information under the Hiring Resources section above.

  4. Review resumes; prescreen considerations

    • Quantitative evidence of prior achievements

    • Longevity in past roles

    • Clear career progression

    • Attention to detail

    • Skills & experience – do they match the search?

  5. Establish the interview process and team

  6. Interview only top or appropriate candidates

    • Use the same/similar questions for each (Int 1, Int 2, etc.), including:

      • Tell me about yourself

      • What motivated you to apply for this position

      • What experiences/skills/strengths would make you a great candidate for this position

      • What are your career goals; or how does this position line up with your career goals

      • What professional achievements are you most proud of

      • What has been your most meaningful work experience

      • Describe your ideal work environment

  7. Offer a DISC behavioral assessment to assist in identifying communication style/ fit for team/business

  8. Check 3 personal and 3 professional references

  9. Create a Letter of Understanding/Offer Letter; verbal offer, followed by a written offer

  10. Once an offer is accepted, fill out this form to begin the background check and NRF process

  11. Reach out to agency associates for training options and resources

Hiring an Assistant

  1. Review state-specific information documents for required steps.

  2. Establish Payroll Company and payroll procedures.

  3. Once the employee is hired, complete the paperwork, including an I9 and W4.

  4. Report new hires to the state’s reporting agency within 20 days of hiring, if required. Payroll company may handle this for you.

* F For general information only. For specific legal questions, please contact your legal counsel.

Becoming an Employer: Legal Obligations

  1. When an Advisor on your team informs you that they are leaving, fill out this alert email.

  2. Send applicable email below to Resigning Advisor:

    *Please note that once this email is sent out to the resigning advisor, the ALC/Sarah Wolman will respond and take the lead on the offboarding process

  3. Advisors should send this letter to their clients, informing them of their departure.

General Notes and Considerations

  • Tech: The resigning advisors will need to leave their laptop with IT to offboard, either by mail or in person. This process takes a few days, so they will temporarily be without a laptop until IT sends it back to them. Alternatively, they can remotely reset their laptop with instructions from IT.

  • Social Media: All work-related social media platforms will need to be updated to show they are no longer affiliated with Commonwealth Financial Group.

  • Inbox and OneDrive Access: This MUST be requested at the time of access termination. Requests only last 30 days.

  • Reassignments:

    • Confirm the Advisor taking on the Resigning Advisor’s BOB is properly licensed to service all accounts

    • Any accounts/plans with a Joint Work Partner will automatically be reassigned to that Joint Work Partner unless otherwise specified

    • The Advisor taking on the Resigning Advisor’s CRIA accounts will need to deliver their ADV-P2B to the client within 30 days of account reassignment. They are also required to maintain annual client contact.

    • The Advisor taking on the Resigning Advisor’s financial plans is responsible for ensuring delivery requirements are met if not already complete

      *Please note that the offboarding process requires active communication between the compliance team and the advisor/sales manager with regards to reassignments, technology, client files, and signed offboarding documentation

Sales Manager Offboarding Instructions

CFG ADVISORY BOARD

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CFG ADVISORY BOARD ⋆

CFG Human Resources is available to provide enhanced services to our CFG Advisory Board members in their staff hiring, performance management, and offboarding needs. In addition to the standard advisor support, we offer these exclusive services and resources to our CFG Advisory Board members:

  • PEO Option, which includes Payroll and Benefits Services for your staff. Contact Colette Lemarier clemarier@financialguide.com for more details.