How are you paid for your services?

12 How are you paid for your services?
. Fee
. Commission
. Fee and commission
. Salary
. Other ______________________________________
13 What do you typically charge?
a. Fee:
Hourly rate $ _________ Flat fee (range) $ _________ to $ _________ Percentage of assets under management _________ percent b. Commission: What is the approximate percentage of the investment or premium you receive on: stocks and bonds _________ ; mutual funds _________ ; annuities _________ ; insurance products _________ ; other _________ 15 a. Do you have a business affiliation with any company whose products or services you are recommending? . Yes . No
Explain _______________________________________
________________________________________________
b. Is any of your comp
ensation based on selling products?
. Yes . No
Explain _______________________________________
________________________________________________
c. Do professionals and sales agents to whom you
may refer me send business, fees or any other
benefits to you?
. Yes . No
Explain _______________________________________
________________________________________________
d. Do you have an affiliation with a broker/dealer?
. Yes . No
e. Are you an owner of, or connected with, any
other company whose services or products I will use?
. Yes . No
Explain _______________________________________
________________________________________________
16 Do you provide a written client engagement
agreement?
. Yes . No
If no, why not? _______________________________
________________________________________________
________________________________________________
________________________________________________