Key Questions

Financial Professionals vary greatly in terms of the quality of their information, their level of service, and the way they are paid. Before making a decision to hire or keep a Financial Professional, please get a clear and compelling answer to the following questions:

  • How long have you been personally responsible for managing client portfolios?

  • What formal training have you undertaken that makes you qualified to give advice in the areas of investment, financial planning, and estate planning?

  • What is the process you use to manage client portfolios?

  • Please describe your client service strategy. What can I expect in terms of communication and ongoing service?

  • How are you compensated? How are your fees calculated? Please describe ALL fees, commissions, and "spreads" I will incur if I choose to do business with you.