Financial Planner Interview


In what area of study is your undergraduate/graduate degree(s)? 

What about other members of the firm?           

What financial planning designations do members of the firm have?

How long have you and your associates been offering financial planning services?

How many hours of continuing education on financial planning do you receive each year? 

Are you a member of any professional estate/financial planning associations?

Have you been published in any books, trade magazines, websites or newspapers pertaining to financial planning? 

Can you provide me copies of the articles?

 Have you ever been cited by a professional or regulatory governing body for disciplinary reasons? 

Who will be working with me – you or an assistant? 

Scope of Services

How many of the following services do you provide?

  • Goals Clarification and Review
  • Tax Planning
  • Estate Planning
  • Insurance Review
  • Investment Review and Recommendations
  • Tax Planning
  • Retirement Planning
  • Ability to view my accounts and plans online?

Will you provide me with a written financial plan?

Will you offer continuous advice regarding my financial affairs?

Do you take possession of, or have any access to, my assets?

At what brokerage firm are my assets held?


How are you compensated?

Will I be charged any additional fees besides your compensation?  

Are your fees tax-deductible? 


Are you a Registered Investment Advisor with the US Securities and Exchange Commission and/or with the appropriate regulatory authorities in this state?   

What is your CRD file number?

Can you provide me a current copy of your ADV-Part II? 

If no, under what allowable exception?