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Episode 14: Ryan Bennett

Enpo puts the pressure on to demonstrate how a financial advisor would react to being asked a series of questions before being hired.

We will be answering these questions:

– Does it concern you when a client brings a list of initial questions?

LIST OF QUESTIONS:

  • How are you compensated?
  • Do you have any minimums or quotas that you have to meet?
  • What licenses, registrations and/or designations do you hold?
  • Are you a fiduciary in all transactions?
  • Can you review your U4 or any other relevant disciplinary history with me?
  • Do you provide comprehensive financial planning or do you perform elements of it?

 

 

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