Questions to ask your financial advisor

  1. What services do you offer?
  2. What is your new client minimum investment amount?
  3. Will you sign a fiduciary oath? If not, why?
  4. What are your professional designations, certifications and/or licenses for the services you will provide me?
  5. Who makes the investment decisions, and what are their credentials/experience?
  6. How much would I pay to have you manage a $1 million portfolio, not only your asset management fees but also all underlying commissions, mutual fund and ETF expenses, hedge fund fees and expenses, brokerage expenses, mortality costs, etc.?
  7. I was referred to you by ___________________.
    Do you have a referral arrangement with this person/website/company? Please describe all referral and incentive arrangements you have with third parties, affiliated companies, and employees.
  8. List the top five conflicts of interest by potential financial impact to me, and explain what those conflicts are and how they could impact me financially.
  9. Can you provide me with your investment performance record, and have you had your performance audited by a third party?

The information on this page does not describe every aspect of our investment advisory services nor does it contain all of our performance records, and it is intended for residents of the United States. Information provided is obtained from sources we believe to be reliable but is not guaranteed. Past results are not indicative of future performance. Nothing on this page should be construed as investment, tax, or financial advice. MCS Family Wealth Advisors® is owned by MCS Financial Advisors, LLC (MCS), an investment adviser registered with the United States Securities and Exchange Commission. We only conduct business where properly registered or exempt from registration.