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< Back to Massachusetts Financial Planning Resources
What To Ask A Financial Planner In Massachusets
Regulatory compliance
Persons and firms who hold themselves out as providing investment advice must be registered with either the Securities & Exchange Commission or the Massachusetts Secretary of State’s office. Individuals may be covered under blanket registration of the firms they work for.
Are you registered with the Securities & Exchange Commission (SEC)? If not, is your firm registered?
Are you registered with the Massachusetts Secretary of State’s office? If not, is your firm registered?
Background and experience Registered financial planners must file a form listing their education and experience with the SEC and Secretary of State (form ADV part II). Ask for a copy of this form, too.
What credentials have you earned?
What is your educational background?
How long have you been practicing financial planning?
May I have a list of references?
Services
What kind of services do you offer?
Will you prepare a complete or partial financial plan after listening to my goals?
Do you sell financial products?
Do you manage investments for a fee?
Do you review a client’s taxes?
What kind of client do you generally service?
Do you have a minimum account size?
What continuing service will I receive after the initial plan?
How often do you send out portfolio reports?
What are your research methods and sources?
Compensation
Both the SEC and the Secretary of State require that the individual or firm disclose this information.
How is the firm paid?
May I have a written estimate of what the fees will be?
Do you have a printed fee schedule available?
Contact Massachusetts Financial Planning Professional
Contact a Financial Planning professional for the following Massachusetts cities:
- Amherst
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Attleboro
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Beverly
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Boston
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Brighton
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Brockton
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Chelsea
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Everett
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Fitchburg
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Framingham
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Holyoke
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Lawrence
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Leominster
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Lynn
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- Malden
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Marlborough
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Medford
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Methuen
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New Bedford
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Peabody
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Pittsfield
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Plymouth
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Quincy
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Revere
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Salem
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Taunton
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Westfield
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Woburn
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