25 Questions For Financial Advisor
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25 Questions For Financial Advisor

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25 Questions For Financial Advisor Presentation Transcript

  • 1. Choosing a Financial Advisor
    The Top 25 Questions to Ask in
    All rights reserved © 2009 GV Financial Advisors, Inc.
  • 2. GV Financial
    Advisors, Inc.
    We like to think of ourselves as “choice architects” and the choice of advisor is one of many choices we hope to help you evaluate. Here are 25 questions you could ask that could help you select the right financial advisor.
  • 3. With my level of wealth, can you think of any reasons why I should expose myself to the risks of the stock market?
    GV Financial
    Advisors, Inc.
  • 4. How does your process help me implement the most basic investment wisdom ­ of buying low and selling high?
    GV Financial
    Advisors, Inc.
  • 5. GV Financial
    Advisors, Inc.
    With a portfolio of my size, I am concerned about my income tax liability. Can you share with me how you might reduce that liability ?
  • 6. Please describe the process by which you create opportunities for me by communicating with my CPA, attorney or other advisors?
    GV Financial
    Advisors, Inc.
  • 7. GV Financial
    Advisors, Inc.
    I have heard that there are ways to “gain by giving it away” and there may be ways to “give away my taxes”?  What experience do you have especially with people in my circumstances ?
  • 8. Can you share some of your best ideas and financial tools that you offer to your clients ?
    GV Financial
    Advisors, Inc.
  • 9. Will you be the only one who will work with me or is there a team?
    GV Financial
    Advisors, Inc.
  • 10. Please give me a profile of your “front stage” and “back stage” people whom would impact my relationship with your firm beyond yourself.
    GV Financial
    Advisors, Inc.
  • 11. GV Financial
    Advisors, Inc.
    Great communicators generally instill the most confidence in their clients. Can you share some of the ways that you communicate ?
  • 12. What types of customized communications will I receive from you and how often?
    GV Financial
    Advisors, Inc.
  • 13. GV Financial
    Advisors, Inc.
    Can you share how you create, implement and tweak an estate plan that fits my family’s priorities? What experience do you have in helping reduce or eliminate the estate tax?
  • 14. An effective advisor assumes a leadership role in his client’s life beyond investments. Can you share with me the role you play in your clients’ lives ?
    GV Financial
    Advisors, Inc.
  • 15. Everyone is naturally endowed with certain strengths. What is your unique genius?
    GV Financial
    Advisors, Inc.
  • 16. Can you help me evaluate private investment opportunities outside of the publicly traded securities?
    GV Financial
    Advisors, Inc.
  • 17. GV Financial
    Advisors, Inc.
    Does your firm sell proprietary products? How do you handle a situation where a better investment opportunity might be available outside your firm?
  • 18. GV Financial
    Advisors, Inc.
    Can you share with me your experience and evidence of expertise in your industry? Perhaps examples of book’s or articles written, recognition from major media, other achievements.
  • 19. GV Financial
    Advisors, Inc.
    Can you help me understand how your firm is structured and how you are my advocate ?
  • 20. Describe your firms relationship and responsibilities towards your clients. Is it fiduciary or suitability or both and under what circumstances?
    GV Financial
    Advisors, Inc.
  • 21. GV Financial
    Advisors, Inc.
    Have you ever been disciplined by any government regulator for unethical or improper conduct or been sued by a client who was not happy with the work you did?
  • 22. How does your fee compare to that of your competitors? If you are at the lower end of the fee scale among your competitors, why? Same question if you are the higher end?
    GV Financial
    Advisors, Inc.
  • 23. How long have you been at your firm? How is the firm that you are with your best opportunity?
    GV Financial
    Advisors, Inc.
  • 24. GV Financial
    Advisors, Inc.
    If you move to another firm 24 months from now, would you say your investment recommendations would be the same? In other words, would your thinking change just because your new firm might have different ideas, incentives or business relationships?
  • 25. GV Financial
    Advisors, Inc.
    Is it important to your firm that you help your clients use all of their resources and opportunities and not just manage their money? 
  • 26. What questions would you ask a prospective advisor that I have left out?
    GV Financial
    Advisors, Inc.
    GVFA 2009 0094
    DOFU 8/2009