Ask Your Advisor These Frequently Asked Questions

The US Securities and Exchange Commission, the nation's top cop in the securities industry, offers "some questions to ask before hiring an investment professional." Verbatim, here's the list:

--Are you licensed with the states or SEC?

--Do you have disciplinary problems on file with the NASD or states?

--How are you compensated?

--What is your relevant experience as a financial professional?

--What kind of special education or training have you received?

--How would you describe your investment philosophy?

--Do you understand my financial goals and risk tolerance?

--What other clients do you have whom I could speak to?

--What kind of periodic reports on my money should I expect from you?

This is just one example of the useful advice the SEC offers on how to pick an investment professional.

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