Dr. Judith Gerhart, CFP
Certified Divorce Financial Analyst 
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Questions to Ask an Advisor
November 9, 2008
Questions about licenses and certifications:
1. Which licenses granted by government and/or regulatory organizations do you currently hold and how long have you held them? Do you hold insurance, securities, CPA, legal, licenses, etc.?
- Get specifics including the type and number of each license, which agency issued the license, how long it has been held, whether it is current, whether there have been any complaints or disciplinary actions.
2. Do you hold all local, state, or federal licenses that you are required to hold?
- This area can be confusing and it is the financial advisor’s obligation to explain his licenses to you and tell you how to confirm what he says with the appropriate agency.
3. What professional designations and certifications do you hold? What did you have to know or learn about planning, finance, and investments to get them?
- Contact all certification organizations to confirm that information you receive is accurate and current and that the advisor is in good standing. (For more information, see the links on advisor regulation below.)
By: The Skilled Investor
Posted by Judith Gerhart on November 9, 2008 | Permalink | Post a comment
Topics: Finance |
