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QUESTIONS TO ASK WHEN FINDING A FINANCIAL ADVISOR

Various industry associations such as The Financial Advisor’s Association of Canada, The Financial Planners Standards Council and the Canadian Securities Administrators recommend that you ask questions when choosing a financial advisor including:


What about your background, qualifications, designations, experience, and ongoing education?

Are you a member of an industry association that enforces standards of ethics, practice and codes of conduct?  If so, which association?

Have there been any complaints filed against you?

How am I protected if there is a problem, like an error or omission on your part?

How are you paid?

How will you work with me to ensure that the advice, planning, products and services you recommend or provide are suitable for my unique needs and goals?

Will you be the only one working with me?