1. What are your qualifications?   (Ask for designations to be explained)
    • Investments
    • Personal Tax Planning
    • Insurance
    • Retirement Planning
    • Estate Planning
    • Other
  2. What experience do you have?
  3. What is your approach to financial planning?
    • Do you concentrate on a particular type of client?
    • How do you keep clients informed?
  4. What type of services do you offer?
    • Financial planning on a wide range of topics
    • Advice only in specific areas such as estate planning or taxation
    • Sell financial products such as insurance, stocks, bonds and mutual funds
    • Other
  5. Will you be the only person working with me?  Who else?  What are their qualifications?
  6. How will I pay for your services?
    • For example per hour, commission per transaction, % fee on asset value
    • Inside RRSP, Outside RRS
  7. Can I have written agreement that details the services that will be provided?
  8. Could anyone besides me benefit from your recommendations?  (Underwritings, Sign-up Bonuses, etc) I would like any potential conflicts of interest laid out in writing.
  9. How are you regulated and how are my rights protected?
  10. Have you ever been publicly disciplined for any unlawful or unethical actions in your professional career?  Explain.


You are interviewing a person you will ideally have a working relationship with for 20 years or more! 

“Do not care what the person knows until you know the person cares!”