Interview Questions

This page will help you:

  • feel comfortable asking a financial professional about their qualifications, expertise, and form of compensation.

Download the interview questions to print.

Name of Financial Professional #1: #2:
How long have you been offering advice to clients?    
Describe your typical client.    
Describe your work experience.     
How much experience do you have in providing advice on these topics? (Ask about those topics that are important to you.)
  1. Retirement planning
  2. Investment and asset management
  3. Tax preparation
  4. Estate planning
  5. Insurance
  6. Elder and long-term care planning
  7. College education funding
  8. Comprehensive financial planning
  9. Other
   
What are your educational qualifications?     
What designations, licenses, or certifications do you hold?     
What financial planning continuing education do you receive each year?     
What services do you offer?      
How are you paid, and by whom, for your services?
  1. Fee
  2. Commission
  3. Fee and commission
  4. Other
   
How much do you typically charge?
    1. Fees:
    2. Commissions:
    
What process do you follow to identify clients’ goals? How will the financial plan be tailored to my personal needs?      
Will I receive a written plan and recommendations?    
Why do you think you would be a good financial planner for me?      
Will you or an associate prepare my recommendations and meet with me?     
How many times or how often will we meet?     
Do you have a fiduciary responsibility to me?    
Are you willing to disclose any potential conflicts of interest to me in writing? If not, why?    
Have you ever been disciplined by a professional or regulatory governing body? If yes, please explain.    
Do you provide a written agreement including fees and services to be provided? If not, why?