Questions to Ask a Financial Advisor

1. How do you get paid? Tell me all the direct and indirect compensation you receive.

2. Are you a fiduciary? Explain to me why or why not.

3. Do you take discretion on my account?

4. If I look on brokercheck.org what would I find out about you?

5. Do you use proprietary investment products?

6. Are you licensed to sell insurance products?

7. What security licenses is do you have?

8. Have you ever had a formal customer complainant?

9. What is your succession plan? What happens to my account if something happens to you?

10. When do you plan on retiring?

11. Are you invested in the same things I would be invested in?

12. What do you see as your conflicts of interest?

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Troy Reinhart • January 8, 2018


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