Interview Question Builder
Ask the right questions.
Select the planning areas relevant to your situation. We’ll generate a personalized set of interview questions to ask each financial advisor candidate.
Select your planning areas
12 questions selected
General / Getting Started
Credentials & Background
- What certifications do you hold, and are they current?
- How long have you been providing financial planning services?
- How many clients do you currently serve, and what is your ideal client profile?
- Will I be working directly with you, or will I be passed to an associate?
Fiduciary & Ethics
- Are you willing to act as a fiduciary and put that in writing?
- Are you fee-only, fee-based, or commission-based? Please explain all sources of your compensation.
- Have you ever been disciplined by a regulatory body? May I check your record on BrokerCheck?
- Do you or your firm receive any third-party compensation, referral fees, or revenue sharing?
Services & Process
- What does your financial planning process look like from start to finish?
- Will I receive a written, comprehensive financial plan?
- How often will we meet, and how do you prefer to communicate?
- What technology or client portal do you provide?
Tips for a Successful Interview
- • Interview at least three advisors before making a decision.
- • Take notes during each interview so you can compare later.
- • Ask the same core questions to every candidate for fair comparison.
- • Request references from clients in similar situations.
- • Trust your instincts about personal fit — but verify with facts.
- • Use our Evaluation Scorecard to score each candidate immediately after the interview.