10 Questions To Ask Anyone Giving Investment Advice

1. Do you have any Conflicts of Interest? (Can you be Paid More for Selling Specific Investments)?
2. Can your income be reduced if you don’t reach specific Sales Quotas Every Year?
3. Are you regulated as a Fiduciary? (If they are request a copy of their Disclosure Brochure)
4. If you are paid a fee based on the value of my investments, What Percent Will I Pay Each Year?
5. Are all my accounts Combined to reach Lower Breakpoints for this fee? (IRA’s, Joint, Single Trust, etc.)
6. If You Manage investment portfolios, how do you decide What to Buy and When to Sell?
7. If you, Hand Off Investment Management, how do you select 3rd Party Portfolio Managers?
8. Will I pay Zero Trade Commissions on Listed Stocks that I select and manage myself?
9. Can Self-Directed and Managed Positions be held in the Same Account?
10. After I Invest how often will you send me Performance Updates in addition to my brokerage statements?

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