Know Your Advisor

Having a good working relationship with your registered investment advisor will go a long way in helping you achieve your financial goals. This relationship may last many years, so it’s important to check their qualifications, registration, and work experience.


A registered investment advisor in their office

Who’s Responsible for What?

You and your investment advisor have responsibilities when it comes to investing.

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Understand Titles & Designations

Know your investment advisor’s experience and expertise to better understand what they can do for you.

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Understand Registration

Be sure to check your investment advisor’s registration status and understand what it means.

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Advisor Check

Gather the information you need to make an informed decision.

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Conduct a Formal Interview

There are a number of key questions to ask when interviewing an investment advisor.

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Advisor Compensation

Learn how your advisor is paid and how their firm is compensated.

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