Industry Overview:
Financial Planners and Investment Advisors
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Call Preparation Questions
How does the firm stay abreast of the range of investment products available?
The explosion in the variety of investment vehicles available such as exchange traded funds, specialty funds, and commodities makes familiarity with them all difficult for a financial planner.
How is the firm planning for the possibility of new federal and state regulations?
Legislators and regulators are increasingly demanding more transparency of investment advisors.
