Selecting a Financial Advisor...

We recognize that the process of selecting a financial advisor can be intimidating. This is the person with whom you will share your goals, dreams, and fears. This is the person who will provide you guidance with your life savings. Many people delay searching for an advisor simply because they find the process overwhelming.

From our experience, clients are often unsure about how to select an advisor they can trust with their financial status, concerns and goals. The following websites provide some useful information on professional designations, how to select an advisor, questions to ask during your first meeting, and to check out prospective advisors’ regulatory background.

FINRA Investor Information
www.finra.org/InvestorInformation/index.htm
(We recommend clicking the Professional Designations tab on the left and the Check Out Brokers & Advisors tab on the right)

State of Maryland Investor Education: www.oag.state.md.us/Securities/pubs.htm

Securities and Exchange Commission:
www.sec.gov

Certified Financial Planner Board of Standards, Inc:
www.cfp.net/learn/knowledgebase.asp?id=6

Like any other relationship, the foundation of the relationship with your advisor should be built on trust and communication. Make sure you are completely confident with your choice before you move forward.

 

1819 Thames Street | Baltimore, MD 21231 | (410) 732-2633 | (877) 807-2633 | Fax (410) 732-2634
Available by Appointment in Alexandria and DC

Securities & Financial Planning offered through LPL Financial, Member FINRA/SIPC www.finra.org
Member of Securities Investor Protection Corporation (SIPC). For an explanatory brochure please visit www.sipc.org

The registered representative of LPL Financial that is associated with this site is registered to discuss and transact securities business in the following states: AK, CA, CT, DC, DE, FL, MD, NJ, NV, NY, PA, RI, TX, VA, VT.