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Choosing and checking a financial professional

Know how they're paid, and look them up.

5 min read

If you want help, the kind of professional and how they're paid matter a lot.

Questions to ask

  • Are you a fiduciary, required to act in my best interest at all times?
  • How are you paid: flat fee, hourly, a percentage of assets, or commissions?
  • What will I pay in total each year?
  • What are your qualifications and registrations?

Look them up

  • FINRA BrokerCheck for brokers
  • The SEC's Investment Adviser Public Disclosure site for advisers
  • Your state securities regulator

General educational information only, not investment advice. All investing involves risk. Nickel Gains isn't paid by any broker, fund company or adviser.