Working with Financial Professionals
Good communication with your investment professional is important.
Ask these questions…
- Describe exactly what types of investment products and services you offer? Are there any products you are not licensed to sell?
- What experience do you have dealing with clients who in a similar financial situation as me? How often do you contact them to discuss their investments?
- How often will you review my account or make recommendations to me?
- Tell me what your qualifications are offering those services?
- What companies have you worked for in the past?
- Where is your office located? Can I visit you at that location?
- What securities licenses do you hold with the State of New Hampshire?
- How are you compensated? How is your firm compensated?
- What potential conflicts of interest do you have when recommending investment products to me?
- How long have you done this type of work.
- Can you provide me with any customer references?
- Do you have any customer complaints? If how many and how were they resolved?
First Time Investors
Things to remember before making an investment, and how to get started!
Check on a Financial Professional
Learn more about the background of a Licensed Investment Adviser Firm, Investment Advisor Representative, or Broker-Dealer Representative.