10 Questions To Ask Anyone Giving Investment Advice

Since printed material must be approved by their firm an advisor’s answers should be In Writing.

  • Can you be Paid More for Selling Specific Investments (Conflicts of Interest)?
  • Are you regulated as a Fiduciary? (If they are request a copy of their Disclosure Brochure)
  • Will I pay Zero Trade Commissions on listed stock investments that I select and manage myself?
  • If you are paid based on the value of my investments, What Percent Will I Pay Each Year?
  • Are all my accounts Combined to reach Lower Breakpoints for this fee? (IRA’s, Joint, Single Trust, etc.)
  • If you manage investment portfolios how do you decide What to Buy and When to Sell?
  • If you Hand Off Portfolio Management how do you select 3rd party managers?
  • Can I hold Self-Directed and Managed Positions in the Same Account?
  • Will I receive Monthly Performance Updates for each of my investments in every account?
  • How will you Work For Me After I Invest?
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