Savings and Investments

Financial Planners and Investment Advisors

Can I ask the potential planner if they or their firm has ever been involved in any litigation or disciplinary action?

Yes, it is a very good idea to ask this question, and to obtain a letter from them that states that they have not. You should disqualify any individual or firm that has had any disciplinary action.


This is a web preview of the "The Handy Personal Finance Answer Book" app. Many features only work on your mobile device. If you like what you see, we hope you will consider buying. Get the App