Questions to Ask a Financial Planner


Choosing the right financial planner requires some homework. You must be comfortable discussing the details of your finances, goals, lifestyle, and financial status. The person you choose should be trustworthy, resourceful, knowledgeable, and creative in mapping out the right strategies for your financial future.

Ask the following questions to find out how well a financial planner will be able to serve your needs:

  1. How long have you been providing financial planning services?
  2. In what area(s) of financial planning do you specialize, if any?
  3. Do you have any advanced degrees, certificates or financial planning credentials?
  4. What securities and insurance licenses do you hold?
  5. How often have you performed similar services in the past?
  6. What type of financial planning service do you think I need based on my goals?
  7. On average, how long have your financial planning clients used your services?
  8. What independent organizations may I contact to verify your credentials, such as FINRA, the SEC, and the CFP Board?
  9. How are you compensated for your services?
  10. Which companies will custody my accounts and what are their financial situations?

Download a PDF of questions to ask a financial planner.

For more information on how to select a financial planner that best meets your unique needs, feel free to call us at 303-690-5070.

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