Starter prompts for financial advisors
Copy a prompt, replace the [BRACKETS], and paste it into the bot your organization allows. Each one tells the bot what not to do, so it is easier to check.
1. Meeting agenda
From these de-identified notes, write a client review agenda: goals, changes since last meeting, questions to ask, documents to bring. No recommendations.
[NOTES]2. Filing summary
Summarize this 10-K excerpt: business segments, risk factors, key numbers. Cite the page or section for each point and copy numbers exactly.
[EXCERPT]3. Concept explainer
Explain [CONCEPT] for a retail client in under 200 words with one simple example. No product recommendations, no return promises. End with "Talk with your advisor about your situation."Before you paste: remove names, account numbers, dates of birth, addresses and anything else that identifies a real person, unless the tool is approved for that data.
Accuracy and ethics, every time
- Confidentiality: never paste client, patient, student, employee or customer personal data (PII/PHI) into a public bot. Use tools your organization has approved, with contract terms that cover data use, or remove identifiers first.
- Verify everything: bots can invent citations, case law, statistics, doses, code sections and quotes that look real. Check each one against the original source before you rely on it.
- Not professional advice: these tutorials teach you how to use AI tools. They are not legal, medical, tax, financial or engineering advice.
- A human professional is responsible: the licensed or accountable person reviews, decides and signs. The bot drafts; you own the result.
- Prices change: we don't list product prices. Check each vendor's official pricing page.
Official sources for this section
- FINRA: Artificial Intelligence: AI in the securities industry
- FINRA Rule 2210: communications with the public
- SEC: Investor.gov: investor education
- CFP Board Code of Ethics: standards of conduct
Links checked Oct 30, 2026. Rules differ by state and country; follow your licensing body and employer policy.
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