Lesson 3: Client Intake and Documentation

Initial Greeting and Interview

Upon the client’s first contact, our representative warmly welcomes them, establishing a professional and trustful atmosphere. We begin with a brief introduction to Taveras Multi-Services LLC, emphasizing our commitment to empowering clients through knowledgeable financial guidance. The initial interview focuses on understanding the client’s financial background, goals, and immediate needs. This conversation is crucial to tailor our services effectively and should be conducted with respect, privacy, and active listening.

Documents You Must Collect

To provide accurate and comprehensive financial services, we require clients to submit specific documentation, which typically includes:

• Government-issued identification (e.g., driver's license or passport)

• Proof of address (e.g., utility bill or lease agreement)

• Recent pay stubs or income statements

• Tax returns from the past two years

• Bank statements for the last three to six months

• Business financial statements, if applicable

• Any existing debt or loan documents

• Insurance policies

• Relevant contracts or legal documents

These documents enable us to perform an effective financial analysis and ensure compliance with regulatory standards.

Using the Intake Checklist

To ensure consistency and thoroughness during client onboarding, our intake checklist is utilized by staff members. This checklist serves as a step-by-step guide to confirm the collection of all necessary information and documentation. It also helps in verifying client identity, understanding client objectives, and outlining the scope of services. The checklist is actively updated during the interview and intake process and reviewed by a supervisor before the file is formally opened.

Recordkeeping Policy (Office Requirements)

Taveras Multi-Services LLC maintains a stringent recordkeeping policy designed to protect client information and ensure operational compliance. Key elements include:

• All client files must be stored electronically within our secure, encrypted virtual office system.

• Physical documents, if provided, are scanned promptly and shredded securely afterward.

• Access to client records is restricted to authorized personnel only.

• Records are retained for a minimum of seven years in accordance with industry regulations.

• Documentation must be organized, complete, and updated regularly to reflect any changes or client communications.

• Backups of all electronic records are performed daily to prevent data loss.

• Confidentiality agreements are in place with all employees and contractors handling sensitive client information.

Adherence to these policies safeguards client trust and supports the integrity of our services nationwide.