Questions to Ask Your Broker
- How do you get paid for giving me advice?
- Are you registered as an investment advisor and do you have a fiduciary duty to me?
- Are you giving this particular advice to me in your capacity as a broker or as my investment adviser?
- Do you or the firm you work for receive any payments from mutual fund firms to sell their funds?
- What are your credentials in financial planning?
NOTE: I found this information somewhere but do not remember where. I always try to give credit where credit is due.
Tags: Questions to Ask Your Broker, Investing