- Are you a fiduciary?
- What licenses, credentials or other certifications do you have?
- Why did you choose this line of work?
- What services do you/does your firm provide? Do you interact with my other financial professionals such as my CPA and estate or divorce attorney?
- How do you charge for your services, and how much?
- What costs do I incur in addition to your compensation?
- What kind of a financial plan do you offer? Is it a simple computer program or do you use a detailed model of my assets?
- What is your investment philosophy?
- Do you personally own the same investment and insurance products you’ll be recommending to me?
- Do you pay attention to tax consequences?
- Who is your custodian?
- What types of clients do you specialize in and do you have a minimum initial investment amount?
- How much contact do you have with your clients?
- Will I be working only with you or with a team? Will I be meeting regularly with the person who is investing the money?
- What makes your client experience unique?
- What is your investment philosophy?
The views and opinions expressed in the posts on this page are those of the author and do not necessarily reflect the position or views of Ingalls & Snyder, LLC. Certain content on this page were originally posted in a personal blog maintained and operated independently by the author prior to joining Ingalls & Snyder, LLC.
The content on this page are for informational purposes, and is not intended to be a formal research report, a general guide to investing, or as a source of any specific investment recommendations and makes no implied or express recommendations concerning the manner in which any accounts should be handled. Any opinions expressed in this material are only current opinions and while the information contained is believed to be reliable there is no representation that it is accurate or complete and it should not be relied upon as such. Investing involves risk, including loss of principal, and no assurance can be given that a specific investment objective will be achieved.
