Broker Check

Roles & Responsibilities

Your Advisors and Your Roles in the Planning Process

Advisor Team Role

  1. Fully understand all of your concerns and issues
  2. Fully Analyze your possible options to address the issues
  3. Conference with other professionals; CPA, Attorney
  4. Present specific strategies and planning results:
    • Investment recommendations
    • Insurance recommendations
    • Tax, Estate & Education planning, and more
  5. Maintain and manage your account and planning relationship
  6. Exceed your expectations with world class service

Client Role

  1. Present your financial details
  2. Agree on an Investment policy
  3. Agree to take necessary actions
  4. Notification of life events that impact your planning effort
  5. Discipline to stay with your plan for the long-term

Questions You Should Ask Yourself

  1. What is your main goal in working with a professional Financial Advisor?
  2. What would you like your investments to achieve?
  3. How involved do you like to be in the financial management process?
  4. If we were meeting 3 years from today, what type of progress would be necessary for you to feel our relationship is successful?

Taking the Next Step…

  1. Let’s talk about your current situation.
  2. Gather financial data. We’ve developed a confidential planning form that you can use to prepare your information for review. [Get Form]
  3. Discuss Various Goals and Objectives
  4. Complete Vision/Goals exercise