Interviewing an Investment Professional

Before selecting an investment professional, it’s a good idea to have a face-to-face meeting.

After all, they’ll be helping you make some important decisions about your future, so you’ll want to know about them. And they’ll want to know some things about you.

What to expect

Knowing what to expect, along with a little preparation, can make your first meeting more valuable and give you confidence to select an investment professional that meets your specific needs.

You’ll have lots of questions, of course − and so will they. You can expect an investment professional to ask questions about things like:

• Your financial goals
• How much investment risk you may be comfortable with
• Whether you have any investments or retirement plans

The two of you also should talk about your health. That may be a factor in planning for medical care or long-term disability.

Interview guide

To get started, print this interview guide (PDF) and take it when you interview potential investment professional candidates. Add your own questions in the space at the bottom.

PDFs require Adobe^® Reader^®