Skip to main content

Communication Essentials for Financial Planners: Strategies and Techniques

Communication Essentials for Financial Planners: Strategies and Techniques

John E. Grable, Joseph W. Goetz

ISBN: 978-1-119-35077-4

Feb 2017

240 pages



Exploring the Human Element of Financial Planning

Communication Essentials for Financial Planners tackles the counseling side of practice to help financial planners build more productive client relationships. CFP Board’s third book and first in the Financial Planning Series, Communication Essentials will help you learn how to relate to clients on a more fundamental level, and go beyond "hearing" their words to really listen and ultimately respond to what they're saying. Expert coverage of body language, active listening, linguistic signals, and more, all based upon academic theory. There is also an accompanied set of videos that showcase both good and bad communication and counseling within a financial planning context. By merging written and experiential learning supplemented by practice assignments, this book provides an ideal resource for any client-facing financial professional as well as any student on their pathway to CFP® certification. 

Counseling is a central part of a financial planner's practice, and attention to interpersonal communication goes a long way toward progressing in the field; this guide provides practical instruction on the proven techniques that make a good financial planner great. 

  • Build client relationships based on honesty and trust
  • Learn to read body language and the words not spoken
  • Master the art of active listening to help your clients feel heard
  • Tailor your communications to suit the individual client's needs

The modern financial planning practice is more than just mathematics and statistical analysis—at its heart, it is based on trust, communication, and commitment. While interpersonal skills have always been a critical ingredient for success, only recently has this aspect been given the weight it deserves with its incorporation into the certification process. Communication Essentials for Financial Planners provides gold-standard guidance for certification and beyond.

Related Resources


Request an Evaluation Copy for this title

Preface xi

Acknowledgments xxv

How to Use This Book xxvii

Introduction xxix

Chapter 1 An Introduction to Applied Communication 1

Chapter 2 Structuring the Process of Interpersonal Communication 21

Chapter 3 Structuring the Process of Communication through the Office Environment 37

Chapter 4 Listening Skills 57

Chapter 5 Questioning 75

Chapter 6 Nondirective Communication 91

Chapter 7 Directive Communication 109

Chapter 8 Trust, Culture, and Communication Taboos 135

Chapter 9 Politeness and Sensitivity in Communicating with a Broad Range of Clients 157

Chapter 10 Financial Planning—A Sales Perspective 173

Solutions 189

About the Authors 193

About the Companion Website 195

Index 197

ChapterPageDetailsDatePrint Run
COPErrata in Text
For Grable, Communication Essentials, 9781119350781:
Library of Congress CIP data should be added. This information should be added to the copyright page where the ISBNs are currently listed. If you have questions about formatting, ask Kathryn
Library of Congress Cataloging-in-Publication Data
Names: Grable, John E., author. | Goetz, Joseph W. (Professor of financial planning), author.
Title: Communication essentials for financial planners : strategies and techniques / John E. Grable, Joseph W. Goetz.
Description: Hoboken, New Jersey : John Wiley & Sons, Inc., [2017] | Includes bibliographical references and index. | Identifiers: LCCN 2017001119 (print) | LCCN 2017016280 (ebook) | ISBN 9781119350798 (pdf) | ISBN 9781119350774 (epub) | ISBN 9781119350781 (cloth)
Subjects: LCSH: Financial planners. | Interpersonal communication. | Interpersonal relations. | Investment advisor-client relationships.
Classification: LCC HG179.5 (ebook) | LCC HG179.5 .G695 2017 (print) | DDC 332.6--dc23 LC record available at