CHECKLIST for Interviewing a Financial Planner

5 What are your educational qualifications?
Give area of study.
. Certificate __________________________________
. Undergraduate degree ______________________
. Advanced degree ___________________________
. Other ______________________________________
______________________________________________
6 What financial planning designation(s) or
certification(s) do you hold?
. CERTIFIED FINANCIAL PLANNERTM certification
. Certified Public Accountant/Personal Financial
Specialist (CPA/PFS)
. Chartered Financial Consultant (ChFC)
. Other ______________________________________
7 What financial planning continuing education
requirements do you fulfill? _________ hours
every _________
8 What licenses do you hold?
. Insurance
. Securities
. CPA
. J.D.
. Other ______________________________________
9 a. Are you personally licensed or registered as an
investment adviser representative with a state(s)?:
. Yes . No
If no, why not?________________________________
b. Are you or your firm licensed or registered as an
investment adviser with the:
. State(s)?____________________________________
. Federal Government?
If no, why not?________________________________
c. Will you provide me with your disclosure
document Form ADV Part II or its state equivalent?
. Yes . No
If no, why not?________________________________
10 What services do you offer? ____________________
________________________________________________
________________________________________________
________________________________________________
11 Describe your approach to financial planning.
________________________________________________
________________________________________________
________________________________________________
12 a. Who will work with me?
. Planner
. Associate(s) ________________________________ b. Will the same individual(s) review my financial
situation?
. Yes . No
If no, who will? _______________________________