·         What services do you provide?

·         How do you provide these services?

·         How do you get paid relative to each of these services?

·         How long have you been in the business?

·         How long have you been with your current firm?

·         How many firms have you worked with?

·         Why did you change firms?

·         Did you get paid to change firms?

·         Did you get paid to stay at your current firm?

·         What is your educational background?

·         What licenses and certifications do you have?

·         Have you ever been disciplined by the NASD or other regulatory agencies?

·         Can I have a copy of your NASD form?

·         Do you prepare comprehensive financial plans?

·         How long does it take to complete a comprehensive financial plan?

·         What do you charge for this comprehensive financial plan?

·         How many clients do you have?

·         How much money do you manage?

·         What type of clients do you have?

·         How often will you contact me and how?

·         How will you determine my risk tolerance?

·         What type of due-diligence do you conduct to ensure my money is "Madoff proof"?

·         How is my money going to be protected?

·         How often will you meet with me to review my portfolio?

·         Will you be handling my account personally?

·         Will you be executing my financial plan personally?

·         Will you keep me informed with every investment decision you make on my behalf?

·         Will you be organizing, coordinating, and keeping all financial documents up-to-date ?

·         How many full-time associates do you have assisting in providing the services you described?

·         How long have these associates been working with you?

·         What is the role of each of your associates?

·         Can you outline your service model?

·         What are your office hours?

·        Do you have names of clients, CPAs, and attorneys you have worked with who I can call?