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Questions To Ask Any Advisor You Are Considering Working With

  • Are you a CFP®?

  • How long have you been advising clients in the financial advisor role?

  • What kinds of conflicts of interest exist with the advice you give your clients? (examples could include sales incentives, sales trips, proprietary products, revenue sharing agreements, etc)

  • Are you a fiduciary?

  • What are your total fees including management fees charged by your firm, fees charged by you, internal expenses charged by mutual fund companies, etc?

  • If the market was reacting sharply higher or lower how long would it take you to place trades across your entire client base?

  • How many clients do you serve and how does their situation compare to mine?

  • What kind of proactive service model do you provide your clients?

  • Do you incorporate tax planning in your recommendations?

  • How would you coordinate with my CPA and attorney?

  • Do you offer comprehensive financial planning or just investment management?

  • Could you outline your planning process?