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Day One With Your Financial Advisor

  • Building a relationship with your advisor is key to helping you achieve your financial goals.
  • Be prepared for your first meeting — and ask lots of questions.
  • Expect a candid, casual conversation in your initial meeting — it’s important to take the time to get to know each other.

Preparing for your first meeting

Your first meeting with your Financial Advisor marks the beginning of an important professional relationship. Just as you rely on your doctor with your health and your mechanic with your car, you’ll be entrusting your Financial Advisor with something of great value too — your financial goals.

call out Your Financial Advisor will want to know you as a person — not just as a client. end call out

Our Financial Advisors work with many types of investors and value their diversity. Your Financial Advisor will want to know you as a person — not just as a client — so he or she can understand the best way to help you with your investment needs and life goals.

The right fit

Meeting with a Financial Advisor for the first time, you should expect a friendly, casual conversation — you’re just getting to know each other. There’s no obligation, no pressure, no judgment — and no cost for your first meeting. You should be candid about your level of investing experience, overall financial situation, and financial goals. You should also feel comfortable asking as many questions as you’d like.

It’s important you choose a Financial Advisor who listens to your concerns, understands your financial needs, and values your input. The relationship between you and your Financial Advisor is a critical one — through the years, you should have many sensitive, private conversations. The relationship may even expand to include friends and future generations of your family.

Getting ready

In advance of the meeting, your Financial Advisor should send you a checklist of items to bring along, including your ID and select financial documentation. That said, your Financial Advisor is obligated to have a deep respect for your privacy and personal information and honor your confidentiality. Personal information can be shared whenever you feel you are ready.

A good Financial Advisor will want the right fit for you as much you seek the right fit in him or her. Before your first consultation, you’ll want to reflect on and be prepared to discuss:

  • Your values about money and your vision for your future
  • What life events are happening or could potentially happen
  • Short- and long-term life and financial goals
  • Investment questions
  • Your current financial situation
  • Preferred account management style

Remember, the more you share about your financial picture, investment goals, and risk tolerance, the better your Financial Advisor will be able to recommend strategies and create an investment plan. You’ll find the initial meeting with your Financial Advisor will set the stage for many conversations to come.

Next steps

  • Think about how you prefer to work with your advisor and what types of investments you’re interested in.
  • Gather the necessary documentation for your initial meeting and prepare answers to questions your advisor may ask.