The Follow-Up
Key Takeaways
Agree on the purpose, timing and channel of follow-up
Use accurate, relevant, approved materials and protect privacy
Honor opt-outs; silence does not authorize an indefinite contact sequence
Useful, Permission-Based Follow-Up
A useful follow-up answers a question, delivers promised material or confirms an agreed action. There is no universal number of contacts or value-to-request ratio that guarantees a sale.
Agree Before Following Up
Ask: "Would you like me to follow up? If so, when and by which channel?" Record the preference in the firm's approved system. Separate required servicing communications from optional marketing, and use applicable firm procedures for each.
| Purpose | Example |
|---|---|
| Deliver requested material | "Here is the fee information you requested." |
| Confirm understanding | "Here is our recap; please let me know if I misunderstood anything." |
| Supply relevant education | "You asked about liquidity; this approved explanation may help." |
| Arrange a chosen next step | "You asked me to reconnect this month. Would you still like to meet?" |
Use approved channels and accurate, balanced material. Client stories, testimonials and performance examples need appropriate approval, disclosures and privacy safeguards; do not share identifying details casually.
Timing Is an Agreement, Not a Sales Formula
Send promised material when agreed. Ask before adding ongoing updates or a recurring marketing sequence. Repeated rescheduling or silence may warrant pausing outreach, not diagnosing the person's motivation. Review contact permissions before any later restart.
When to Stop
| Signal | Action |
|---|---|
| Requests no further contact | Record and honor the request under the applicable process |
| Says not now | Ask whether a future contact is wanted; accept no |
| Does not respond | Do not assume consent to repeated messages |
| Circumstances change | Confirm relevance and permission before restarting |
Exit message, when appropriate: "I will pause outreach. You are welcome to contact us if you want to revisit this."
Outbound securities solicitation calls have identification and do-not-call requirements under FINRA Rule 3230. Referral status, useful content and an existing relationship do not override a firm-specific do-not-call request. Follow other applicable channel rules and firm policies as well.
Sources: FINRA Rule 3230, FINRA Rule 2210.
The Post-Meeting Follow-Up
A prospect you met with a week ago
Setup
You had a great first meeting with a prospect last week. They said they'd review the materials and get back to you. It's been 7 days and you haven't heard anything.
Client says:
“*You're crafting your follow-up communication. The AI will respond as the prospect once you've reached out.*”
Practice Objectives
- 1Craft a follow-up message that adds value
- 2Reference something specific from your meeting
- 3Don't just "check in"—have a reason to reach out
- 4Include a soft ask for next steps
- 5Keep it brief and respectful of their time
The Ghost
A prospect who stopped responding
Setup
A prospect was very engaged for two meetings, then went silent. Your last three messages have gotten no response. You need to decide: try again or let go?
Client says:
“*After your final outreach attempt* Oh, hey. Sorry I've been MIA. Things got crazy at work. And honestly, I just wasn't sure what to say. I'm still not ready to make a decision. I know that's frustrating.”
Practice Objectives
- 1Don't express frustration (even though you feel it)
- 2Get curious about what's really going on
- 3Determine if there's still potential here
- 4Either revive the conversation or gracefully close it
- 5Leave the door open either way
The Long Game
A prospect who said "not now" but might be ready later
Setup
Six months ago, a prospect invited a later contact and agreed to occasional updates. Check that the permission and channel remain applicable before asking whether they want to resume the conversation.
Client says:
“*Responding to your re-engagement message* Hey! Good to hear from you. Yeah, I remember our conversations. My situation is a little different now actually. Things have settled down and I've been thinking I probably should get back to this. What did you have in mind?”
Practice Objectives
- 1Acknowledge the time that's passed naturally
- 2Get curious about what's changed in their situation
- 3Don't assume—re-discover their current needs
- 4Transition toward scheduling a new conversation
- 5Treat this as a warm restart, not a cold restart
What's the best approach to follow-up after a meeting?
Wait to send requested materials until they initiate contact
Add them to monthly market emails to keep providing value
Send agreed materials and follow their timing and contact preferences
Use a preset weekly sequence until they make a decision