Questions to ask any Financial Advisor you are planning to interview

  • Are you 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)
  • 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 promise to provide?
  • 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?

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