Investment Management

Planning Resources

It's never been easier to get investment advice than it is today, yet the role of the Financial Advisor continues to grow.

That's because Financial Advisors know more than just the markets. They know how important your money is to you—and how your needs are a little bit different from everyone else's.

And they can translate today's onslaught of financial information into an investment plan built especially for you.

A Financial Advisor will:

  • Assess your current financial situation
  • Help define your financial goals, time horizon and risk tolerance
  • Design a diversified investment strategy to match your situation
  • Offer investment recommendations backed by expert research and experience in the financial markets
  • Monitor and adjust your portfolio on an ongoing basis, and as your needs change
  • Provide perspective and insight during times of market volatility

Tips for Choosing a Financial Advisor

  • Ask friends, relatives, business associates or other financial professionals, such as your lawyer, accountant, or the branch manager of your bank. Another way is through an investment seminar in your community.
  • Interview all potential candidates. Make sure you decide on someone you feel comfortable with when it comes to investment knowledge, approach to risk, amount of time they can spend with you, etc.
  • Determine compensation structure up front. Some Financial Advisors charge a commission for each trade, while others assess a yearly management fee. There are pros and cons to each approach, so it's important to have all your questions answered beforehand.
  • Make sure the advisor provides the appropriate level of support and expertise. Some advisors are generalists, offering services such as insurance or retirement planning, while others focus on investments.
  • Finally, check out your candidate's references and credentials. You may want to utilize the FINRA BrokerCheck program, which helps investors obtain information about current and former FINRA-registered securities firms and brokers. Visit for more information.
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