Training and Development Plan Worksheet
Associate Advisor Name:____________________________________________________
Step 1: Use the Sample Training & Development Plan (at the end of this document) to Customize
your Development Areas. (Standard Areas: Marketing & Client Acquisition, Personal Productivity, Client
Advice and Delivery, Business Mgmt.)
#1:
#2:
#3:
#4:
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
Step 2: Identify broad Success Measures for each Development Area. (Productive Meetings
w/ prospects, setting daily and weekly goals, closing the sale)
Area #1: ___________________________________________________________________
Area #1: ___________________________________________________________________
Area #1: ___________________________________________________________________
Area #2: ___________________________________________________________________
Area #2: ___________________________________________________________________
Area #2: ___________________________________________________________________
Area #3: ___________________________________________________________________
Area #3: ___________________________________________________________________
Area #3: ___________________________________________________________________
Area #4: ___________________________________________________________________
Area #4: ___________________________________________________________________
Area #4: ___________________________________________________________________
Step 3: Develop specific tactics to achieve the Success Measures.
Success Measure-Area #1: ______________________________________________________
Success Measure-Area #1: ______________________________________________________
Success Measure-Area #1: ______________________________________________________
Practice Management Solutions brought to you by Securities America, Inc., a Registered Broker/Dealer, Member FINRA/SIPC.
Copyright Securities America, Inc. All Rights Reserved. For Broker/Dealer Use Only.
Success Measure-Area #2: ______________________________________________________
Success Measure-Area #2: ______________________________________________________
Success Measure-Area #2: ______________________________________________________
Success Measure-Area #3: ______________________________________________________
Success Measure-Area #3: ______________________________________________________
Success Measure-Area #3: ______________________________________________________
Success Measure-Area #4: ______________________________________________________
Success Measure-Area #4: ______________________________________________________
Success Measure-Area #4: ______________________________________________________
Step 4: Assign a reasonable Complete Date for each activity.
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
Step 5: Assign a Readiness Level for each Development Activity. (Novice, Intermediate,
Experienced Professional)
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
800.989.8441 | www.JoinSAI.com
Practice Management Solutions brought to you by Securities America, Inc., a Registered Broker/Dealer, Member FINRA/SIPC.
Copyright Securities America, Inc. All Rights Reserved. For Broker/Dealer Use Only.
TRAINING AND DEVELOPMENT PLAN
Development Area
Name: ________________________________________________
Success Measures
Development Activities
1. Marketing and
Client Acquisition
1. Marketing and
Client Acquisition
1. Marketing and
Client Acquisition
2. Personal Productivity
2. Personal Productivity
2. Personal Productivity
3. Client Advice and
Delivery
3. Client Advice and
Delivery
3. Client Advice and
Delivery
4. Business
Management
4. Business
Management
4. Business
Management
Complete By
Practice Management Solutions brought to you by Securities America, Inc., a Registered Broker/Dealer, Member FINRA/SIPC.
CopyrightSecurities America, Inc. All Rights Reserved. For Broker/Dealer Use Only.
Readiness Level
TRAINING AND DEVELOPMENT PLAN - SAMPLE
Development Area
Success Measures
Development Activities
Complete By
Readiness Level
1. Marketing and
Client Acquisition
Productive meetings with prospects
Conducting effective marketing campaigns
Generating referrals
Participate in Job Shadows
Blueprint marketing processes
Build and practice Referral Script
June 1
Sep 1
Aug 1
Intermediate
2. Personal Productivity
Setting daily and weekly goals
Individual professional development plan
Utilizing B/D Resources
Preparing your model week
Build Model Week
Complete IDP
Learn on-line resources
June 1
Aug 1
Nov 1
Intermediate
3. Client Advice and
Delivery
Conducting Discovery Interviews
Plan creation and presentation
Closing the sale
Selecting and recommending the best product
On-going service and communication
Participate in Drills for Skills
Learn FP Software
Learn presentation techniques
Interview wholesalers
Learn practice’s client systems
June 1
Aug 1
Nov 1
Aug 1
Jan 1
Novice
4. Business
Management
Utilizing support staff
Managing up
Investing in productive activities
Measuring success vs. goal
Securing your business with smart compliance
Learn business operations
Plan and execute six-month goal
Learn necessary Compliance rules/regs
June 1
May 1
Nov 1
Novice
800.989.8441 | www.JoinSAI.com
Practice Management Solutions brought to you by Securities America, Inc., a Registered Broker/Dealer, Member FINRA/SIPC.
Copyright Securities America, Inc. All Rights Reserved. For Broker/Dealer Use Only.