SYRACUSE FINANCIAL ADVISORS

Interviewing Syracuse Financial Advisors

Consider interviewing a number of local Syracuse Financial Advisors before making a final selection since this decision will affect your financial future. When interviewing Syracuse Financial Advisors it is a good practice to make a list of questions to ask.

Think about what you are looking for and ask relevant questions when interviewing an advisor. Consider the following questions when interviewing and advisor.

Q. How long have you been a Syracuse Financial Advisor?

You can discover how much experience an advisor has when interviewing an advisor by asking this question. Many Syracuse Financial Advisors start as stock brokers or assistants for other advisors. The advisor may also work under a mentor at a larger firm. Some advisors may have worked or been licensed in other cities or states. Be sure to ask about work experience specifically in the Syracuse area.

Q. Are there any disclosures on your criminal, NASD or insurance records?

Problems in an advisor's past are important to discover when interviewing a Syracuse Financial Advisor. When interviewing an advisor, ask if disciplinary actions have ever been taken against him in Texas or any other state. If yes, ask for an explanation. If the explanation is not satisfactory, discreetly end the interview. Use the NASD broker check to look them up and help you determine questions to ask when interviewing an advisor. (www.nasd.com)

Q: What certifications do you have?

Consider certifications the Syracuse Financial Advisors hold. Advisors should provide proof of competence. Some of the more common to look for are CPA/PFS, CFA, CFP. Your advisor should hold one or more of these depending on your needs.

Q: Are you a Registered Investment Advisor (RIA) or an Investment Advisor Representative (IAR)?

Syracuse Financial Advisors take the right tests and join the right organizations to give themselves credibility and set themselves apart from the less qualified. Always ask about RIA and IAR status when interviewing an advisor.

Q: How are you compensated?

Compensation is an important consideration in interviewing Syracuse Financial Advisors. If advisors make money from commissions, they may have a conflict of interest by recommending, for example, an annuity with a 5% commission over a bond with the same return but only a 2% commission. When an advisor charges an hourly or flat fee, they may be more objective about your investments. Make sure you understand how an advisor will be paid when interviewing an advisor.

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Interviewing Syracuse Financial Advisors
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