Your investor toolkit

Make your first meeting
more meaningful.

Check off each question as you prepare. Your progress stays in this browser, ready for the next conversation.

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Your prioritiesWrite down the goals and decisions you want help with.01Their servicesAsk which services are included and who provides them.02Fees and costsRequest a clear explanation of fees, commissions, and product costs.03Conflicts of interestAsk about other compensation and potential conflicts.04Relevant experienceDiscuss experience with clients whose needs resemble yours.05Professional backgroundCheck the individual and firm in FINRA BrokerCheck or SEC adviser records.06The working relationshipAsk who your main contact will be and how often you will meet.07Account arrangementsAsk where assets are held and how you can access statements.08Time to decideReview written disclosures, compare options, and take time to consider.09

Make your first meetingmore meaningful.

Make your first meeting
more meaningful.