QUESTIONS TO ASK

A FINANCIAL ADVISOR

Your first meeting with an advisor should be used to see if they are the right fit for you and your family or business.  Many times clients will let the advisor do all the talking because they don't know what questions to ask.  This is a critical conversation, and here are some things you will want to know.  After the conversation, consider your perceptions of the meeting.  Did the advisor show a genuine interest in you and answering you questions?  Was the conversation balanced or did the advisor do more talking than listening.  Here are some questions that you should ask your potential advisors:

  • How long have you been a financial advisor?

  • What certifications do you have?

  • What is your training and experience?

  • How many firms have you worked with?

  • How many clients do you have?

  • Do you focus on managing any specific types of investments?

  • How and when are you compensated for your services?

  • What is your approach with new clients?

  • How often do you meet with new clients?

  • What do you think are the most critical components to reaching a client's goals?

  • What are your typical thoughts on managing risk versus seeking reward in a client's portfolio?

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