Questions to Ask

To raise your personal comfort level with a Financial Professional, we suggest performing your research before trusting them with your business. The following websites allow you to inquire into a Financial Professional’s background and see any potential regulatory actions that involve them:

In addition, consider asking these questions:

  • What products and/or services do you offer?

  • How do you make money? Do you earn a commission or are you paid an annual fee or percentage of my assets?

  • When and how often do you talk to clients?

  • What’s your investment strategy or style?

  • What does your typical client look like?

  • Do you hold any professional certifications or designations?

  • How long have you been a financial professional?

  • Are you a Compliance Standards Program Member?

Don’t settle for less – choose a Financial Professional who is dedicated to putting your needs first!

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