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Questions to Ask a Financial Advisor

Below are a list of questions you should ask any financial advisor you are considering working with their firm!

Experience & Qualification

  • How long have you been a financial advisor?  
  • What is your educational experience and do you have any industry certifications?
  • Tell me about your experience, career progression and previous employers?
  • Have you ever had an infraction or been disciplined by a regulatory authority?
Investment Services
  • Can you describe your qualifications to manage money for other people?
  • What is your investment philosophy and process?
  • Will I receive a customized investment policy statement (IPS) that fits my risk tolerance and investment preferences?
  • How often do you review your portfolios?  How often do you provide investment reports and do you show performance on both a TWR and IRR basis?
  • Are your investments managed in the same fashion as your clients?
  • Do you use a recognizable third-party custodian to hold your clients assets?
Planning Services
  • Do you provide financial planning services, please describe?
  • Are these services separately charged from your investment service?
  • Do you sell life insurance or other annuities as part of your financial planning service?

Fees and Potential Conflicts
  • How are you compensated and how much will my fee be?
  • Will all fees that are charged by you and the products you use be disclosed to me?
  • Do you accept commissions, revenue sharing and/or soft dollars, will those costs be disclosed to me?
  • Are you compensated for selling products, proprietary or otherwise?
  • Are you an independent advisor or are you affiliated with a larger organization?
  • Are you a Fiduciary and are you willing to take a Fiduciary Oath?

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 Accredited Wealth Management
6010 Brownsboro Park Boulevard
Suite F
Louisville, KY 40207
Office: 502-290-1905
Fax: 502-290-1908


Accredited Wealth Management provides this information for educational purposes only; it is not intended to be specific to any individual's personal circumstances. 

To the extent that this material concerns tax matters, it is not intended or written to be used, and cannot be used, by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Each taxpayer should seek independent advice from a tax professional based on his or her individual circumstances. To the extent that this material concerns legal matters, individuals should consult the appropriate legal counsel given their particular situation. 

These materials are provided for general information and educational purposes based upon publicly available information from sources believed to be reliable—we cannot assure the accuracy or completeness of these materials. The information in these materials may change at any time and without notice.

This communication is strictly intended for individuals residing in the state(s) of KY. No offers may be made or accepted from any resident outside the specific states referenced.

Check the background of this financial professional on FINRA's BrokerCheck.