#14 – Financial Professionals

In this episode, we are going to be talking about

  • Different types of investment professionals
  • What you should be looking for
  • What you should ask them

Call to Action:  

If you currently have an advisor what type are they and what are you paying them?

If you don’t have one should you have one and now you know a little bit about what to look for so start making your list of questions and interview them.

Show Notes:

  • Need to know how they are getting paid and what type of advisor they are
  • A financial advisor should be more responsible for more than just executing trades in the market on behalf of their clients.
  • Advisors use their knowledge and expertise to construct personalized financial plans that aim to achieve the financial goals of clients. These plans include not only investments but also savings, budget, insurance, and tax strategies.
  • Advisors further check in with their clients on a regular basis to re-evaluate their current situation and future goals and plan accordingly.
  • The financial advisor is also an educator. Part of the advisor’s task is to help you understand what is involved in meeting your future goals. 
  • You should expect them to answer your questions fully—no dodging and no sales pitches. But if you come across an advisor who doesn’t like your questions or is all about guaranteed returns, keep looking.
  • It should be a partnership between you and your advisor.
  • An initial consultation is often free and provides a chance for both the client and the advisor to see if they’re a good fit for each other.


Investment Adviser Public Disclosure website at adviserinfo.sec.gov



By |2020-04-23T05:57:44-05:00April 23rd, 2020|Podcast|0 Comments

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