Financial Service Company Business Plan Sample


Do you have a plan of starting a financial advisory service business but you don’t have a clue on how to write a business plan for your proposed business or you don’t know how such business continuity plan look like or you need it to apply for a loan?

If yes, then here is what you need to make that dream come true.

To make it easy for you, I will be giving you a sample of how a financial service business plan look like so you can use the format and style to write your own effectively without stress.

I know by now you should know what a financial services business does so I don’t need to start telling you what you already know.


Here is a sample business plan for starting a financial service firm.

I will be using Freedom Investments LLC as the company’s name.

  • Executive Summary
  • Business Objectives
  • Mission Statement
  • Services
  • Market Analysis
  • Strategy and Approach to Market
  • Management Summary
  • Financial Plan

Who We Are

Freedom Investments LLC, is a standard financial service company that provide financial advices, financial planning and management to our esteem customers on how they can plan their way to financial freedom following a blueprint that is proven and tested. By operating a private financial service company, we seek to improve the financial lifestyle of our clients by providing user friendly blueprint that will help them enjoy life after retirement.

Why We Do It

It is quite obvious that some people don’t have any plan on how they can become financially free in the nearest future while some who does can’t still be able to afford the service of a financial advisor, that is why our services comes in an affordable fee so that the average person can receive financial advice that can help them and won’t put holes in their pocket.

The Management

Freedom Investments management team are professionals with over 10 years of experience in the financial sector and they are always on standby to deliver professional financial counsel to clients.

Our objectives are simple;

• To become the leading financial service company in Europe when clients need financial advices and counsel.
• Attract more people to be able to provide workable financial plans/solutions for their lives using our services.
• Achieve a first year net profit of $200,000.
• To be considered as an asset to our customers and a respectable honest company that customers feel committed to.

To provide our key customers the highest financial services available so we are not just seen as another financial services but as an indispensable partner in the industry.

Freedom Investments LLC offers financial advices which covers;

• Asset Management.
• Wealth Creation and Management.
• Investments
• Retirement services.
• Budgeting and Financial Planning.
• Tax Counselling

Our service charge is similar to normal brokerage fee system based on the kinds of services you buy into.

Freedom Investments LLC has already identified two distinct markets that will be focused on to meet their satisfaction. These markets have been grouped into people that earn less than $1 million and people that earn more than $1 million annually.

As a top player in the financial services industry, we don’t just specialize in providing financial advices on mutual funds and bonds like other services providers. We look for various ways our customers can become wealthy in the nearest future by spreading our services stocks, real estate, mutual funds, technology’s companies etc.
Market Segmentation

Freedom Investments LLC has segmented the target market into two distinct groups based on their annual earnings.

Less Than $1 Million Annually: These are the middle class people that are more concerned with playing safe when it comes to handling their finance. They drive average cars and own luxuries that are not too expensive in their eyes.

Because these people do not have abundance of money to buy into investment services like real estate and federal bonds, and they are also afraid of losing their hard earned money, we choose to provide financial services like stocks and mutual funds’ investment because they are of moderate risk.

More Than $1 Million Annually: These are the elite or sometimes called the upper class in the society. They have over $1 million in liquid cash and are either top office holder in big firms or are running a multi-million-dollar business.

These people are more concerned about the return on investment than the risks involved because they are not afraid of taking risk. We involve these people in services like investing in real estate, oil well, gold and silver investing etc.

Target Market Segment Strategy

Freedom Investments LLC has chosen these market segment because that is where we have find our core interest and we have good strategies on how to satisfy both market. These groups have the money and willingness but are ignorant of where to put their money this guarantee to come and also get a reasonable return on investment.

Freedom Investments will leverage its competitive edge of a customer friendly financial service to encourage people to take wise financial decisions using the slogan, “think future, act now”.

The sales campaign will rely on metrics that indicate that no one else offers this type of services as an information sources like us.

Freedom Investments will be managed by a team of professionals with over 10 years of experience in the financial services industry. The team will be led by Sarah Scofield who has an undergraduate and Masters in Economics and Finance.

Sarah has worked for Salomon Smith Barney where she works in the investment department for 8 years. We ensure we employ competent hands to help us build the business of our dream and meet customer’s expectation.

Freedom Investments LLC project to make a gross margin of 20-25% with investment sales predictions starting from FY2016 $3,200,155 to increase to $3,450,234 for FY2018 and $3,635,542 for FY2018.

Break-even Analysis

Monthly Revenue Break-even $20,500
Average Percent Variable Cost 59%
Estimated Monthly Fixed Cost $7,050

Here you have it, a financial service business plan sample for your use.

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