FINANCIAL PLANNER INTERVIEW CHECKLISTPlanner Name: _____________________________________ Company: _________________________________________ Address: __________________________________________ Phone: ______________________ Date: ________________
Do you have experience providing advice on the topics below? If yes, indicate the number of years. - Retirement planning ______________
Investment planning ______________ Tax planning ____________________ Estate planning __________________ Insurance planning _______________ Integrated planning _______________ Other __________________________
What are your areas of specialization?
_____________________________________ _____________________________________
What qualifies you in this field(s)?
________________________________________________ ________________________________________________ ________________________________________________
How long have you been offering financial planning advice to clients?
[ ] Less than one year [ ] One to four years [ ] Five to 10 years [ ] More than 10 years
How many clients do you currently have?
[ ] Less than 10 clients [ ] 10 to 39 [ ] 40 to 79 [ ] 80 +
Briefly describe your work history.
________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________
What are your educational qualifications? (Give area of study.)
[ ] Certificate ________________________________ [ ] Undergraduate degree ______________________ [ ] Advanced degree __________________________ [ ] Other ____________________________________
What financial planning designation(s) or certification(s) do you hold?
What financial planning continuing education requirements do you fulfill?
_________ hours every _________
What licenses or registrations do you hold?
Will you provide me with government-required disclosure documents?
What services do you offer?
_________________________________________________ _________________________________________________
Describe your approach to financial planning.
_________________________________________________ _________________________________________________ _________________________________________________
Who will work with me?
_______________________________________________ _______________________________________________
Will the same individual(s) review my financial situation?
How are you paid for your services?
What do you typically charge?
What is the approximate percentage of the investment or premium you receive on:
stocks and bonds _____ mutual funds _______ annuities _______ insurance products _____ other _____
Do you have a business affiliation with any company whose products or services you are recommending?
If yes, explain _________________________________________________
Is any of your compensation based on selling products?
If yes, explain _________________________________________________
Do professionals and sales agents to whom you may refer me send business, fees or any other benefits to you?
If yes, explain ______________________________________
Do you have an affiliation with a firm that buys and sells investment products on your behalf (e.g., a broker/dealer firm)?
If yes, explain __________________________________________________
Do you provide a written client engagement agreement?
If no, why not? ___________________________________________________
© 2006, Financial Planning Standards Board Ltd. Through a licensing agreement, this checklist is based wholly or in part on copyrighted materials owned by Certified Financial Planner Board of Standards Inc. See FPSB’s copyright notice at www.fpsb.org for more.
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