Clarify the job
Different professionals provide different services. Ask what work is included, what is outside the engagement, and how the professional coordinates with other people you work with. A job title alone does not describe the entire service.
Ask about costs and conflicts
Investor.gov recommends comparison shopping and asking how investment professionals are paid. For firms required to provide Form CRS, the relationship summary can help you compare services, fees, conflicts and disciplinary information.
Check before you engage
Use the relevant regulator or licensing body to verify registration or licensing, as appropriate to the profession and service. Investor.gov offers a background-check starting point for investment professionals. Directory profiles and video appearances do not replace independent checks.
Bring these questions.
- Who does your practice serve, and what services are included?
- How are you paid, and what conflicts should I understand?
- Where can I verify your applicable credentials or registration?
- What should I prepare, and how should I share it securely?
Sources & further reading
Primary sources provide context for this guide. They do not endorse The Wealth Channel.
General education only. Not personalized investment, tax or legal advice. The right professional and next step depend on your circumstances.