Interview questions
Experience:
- What licenses and/or certificates do you currently hold?
- What professional organizations are you a member of or affiliated with?
- What is your area of focus—estate planning, taxes, investments, other?
- How would you describe your client base?
- What is the average length of your client relationships?
- Do you participate in ongoing education or training?
Services:
- What types of investment services do you offer?
- How are you compensated for your services--commission, fee-only or a combination?
- Do you work with other "estate professionals" such as insurance agents and lawyers for a comprehensive review of each client's estate?
- How often will you review my investment portfolio?
- If changes need to be made, what is the process or policy?
- How often will you review my investment plan and it's progress with me?
- When you make a recommendation for change, what information do you provide me to support your recommendation?
- Do you provide seminars or communications on new products or services?
- What is your procedure during general volatile market conditions and when a specific holding is experiencing volatility?
Communications:
- How often do you send clients account balances and performance information?
- Other than sending statements, how often do you contact clients?
- Do you have a Web site that allows me to access my account information with daily updated values?