What a stockbroking prospect desk here is actually managing
The work between an enquiry and a funded account is unregulated and unglamorous. Webinar registrations that need calling in a sensible order. An adviser referral that needs acknowledging the same day. An application that opened and then sat unfunded. A prospect who meant to start a monthly contribution and never did. None of it is a regulated act; all of it decides the result.
A CRM for stock brokers South Africa firms adopt should live in exactly that space. Mandates, verification records, order records and statements belong to the operational systems built for them, and a prospect desk should stay well outside those.
The February rush is a queue problem
The weeks before the end of the tax year bring a predictable surge, and the firms that handle it well are simply the ones with an ordered queue and escalating deadlines. Without that, the enquiries that arrived early are the ones that get lost behind the late ones, which is exactly backwards.
Referral relationships deserve evidence
Introductions from advisers and other professionals are a serious channel here, and they are usually reviewed on impressions. Recording the introducer on the prospect from first contact makes the annual conversation a factual one, and it means the introduction is acknowledged properly at the time.