What to ask when looking for an advisor

If you are considering working with an advisor, you should ask about the advisor’s background and qualifications, approach to investing, and the services they will provide to you. Take the time to get to know the person and make sure you are comfortable with their qualifications, values and commitment to you.

Here are some questions that you can ask:

Experience and reputation:

    • What is your education and professional experience?
    • How long have you been practicing as an advisor?
    • Do you specialize in any areas (seniors, small business owners, etc)?
    • How long has your firm been in business?
    • How long have you been with the firm?

Registered investment advisors are overseen by regulators and must complete education programs after they are registered to help them keep on top of new financial products, rules and regulations, and industry trends. Learn more…


  • Are you and your firm registered with a securities regulator? Which one(s)?

Confirm whether the individual or firm is registered.