Interview an Investment Professional

How to Prepare for a Meeting With a Potential Financial Advisor

Before selecting an investment professional, it’s a good idea to have a face-to-face meeting.

After all, they’ll be helping you make some important decisions about your future, so you’ll want to know about them and they’ll want to know some things about you.

What to expect

Knowing what to expect, along with a little preparation, can make your first meeting more valuable and give you confidence to select an investment professional that meets your specific needs.

You'll have lots of questions and so will they. You can expect an investment professional to ask questions regarding:

  • Your financial goals
  • How much investment risk you may be comfortable with
  • Whether you have any investments or retirement plans
  • Long-term health care including planning for medical care and long-term disability

What to ask

According to Forbes,1 there are 10 basic questions to ask an investment professional you are considering to hire as a financial advisor:

  • How do you charge for your services, and how much?
  • What licenses, credentials or other certifications do you have?
  • What services do you/does your firm provide?
  • What types of clients do you specialize in?
  • Could I see a sample financial plan?
  • What is your investment approach?
  • How much contact do you have with your clients?
  • Will I be working only with you or with a team?
  • What makes your client experience unique?
  • Did he or she ask me questions and seem to be interested in me?

Share Article