Financial Planner Checklist
4.9/5 with 117 votes
Table of Contents
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- Before You Meet With a Financial Planner
- Write down your financial goals.
- Think what specific things you wish to save for.
- Determine how much progress you have made toward obtaining each of your goals to date.
- Check how much you have saved
- Decide how soon you wish to accomplish these goals.
- Break each goal into short-term, medium-term (1 - 3 years) or long-term (5+ years).
- Interview Guidelines
- Ask about the services he provides.
- Ask what licenses and/or qualifications he holds.
- Ask about types of investments he is licensed to offer.
- Check how he would prepare your financial plan.
- Check what continued services you will receive after the initial plan.
- Ask what his typical clients are like, and how have their portfolios performed.
- Ask how many clients he has.
- Find out about the advisor's fees.
- Check how your compensation is calculated.
- Ask if he provides an initial meeting at no cost.
- Ask for a written estimate of what the fees will be.
- Tips
- Ask questions that will allow you to judge the professional's ability to manage your finances appropriately.
- Make sure to interview each advisor thoroughly so that you feel confident in your decision.
- Have the advisor answer as much information as possible.
- Write down the responses so that you are able to compare several advisors objectively.
- Look for a financial advisor who provides ongoing services to advise and assist in your plan's implementation as well as future plan revisions.
- Make sure to select advisors based upon their qualifications rather than their personalities.
- Find advisor with a strong track record of providing the services you need at a reasonable cost.
- Check the references.
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Presented by:
John F. Smith
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141
Views: 141
Uses
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Uses: 12
Tasks
28
Tasks: 28
Who it's for
This Financial Planner Checklist is for teams that want consistent execution, less rework, and clear ownership.
- Standardize quality - run the same Financial Planner steps every time, regardless of who executes
- Save time - reuse a proven Financial Planner workflow instead of rebuilding processes from scratch
- Improve accountability - assign owners and see what's done vs. what's pending
- Onboard faster - use the Financial Planner checklist as the SOP and training guide
- Coordinate across roles - handoffs are clear and everyone works from the same source of truth
How to use it
How to use this Financial Planner Checklist:
- Start by saving it - save as a Template if you'll reuse it, or as a Checklist if it's a one-off project.
- Customize it once for your workflow - remove what doesn't apply and add your team-specific steps.
- Assign ownership and execute - set owners/due dates where needed and track completion as work happens.
- Reuse without rebuilding - when Financial Planner comes up again, start from your saved version and run it with clear ownership.
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Scores 4.90 with 117 votes