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Choosing A Regulated Financial Advisor

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Financial advisors are professionals who can provide advice about investment options and financial products to clients. Individuals seeking the services of these professionals should consider the following information...

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Choosing A Regulated Financial Advisor

  1. 1. Choosing A Regulated Financial Advisor Kevin Neal Business
  2. 2. 2 Financial advisors are professionals who can provide advice about investment options and financial products to clients. Individuals seeking the services of these professionals should consider the following: >> WHAT DO I WANT? – Is it help with financial planning or a recommendation on which fixed-income option to invest in? Dealing with financial advisors is easy when there’s prior understanding of the need. >> THE ADVISOR’S EXPERIENCE – Consider the level of knowledge and experience an advisor has, particularly in the area(s) you need help. >> THEIR RECOMMENDATIONS – It’s important to gauge an advisor’s scope of recommendations; in particular, whether they’re recommending from the entire market or narrowing their advice to a limited set of providers. >> ARE THEY AUTHORISED? – In the UK, financial advisors are regulated by the Financial Conduct Authority (FCA), which monitors how they conduct their business. Choosing A Regulated Financial Advisor
  3. 3. 3 Some advisors will provide advice across numerous areas, while others will have specialities in certain sectors. It’s important to ensure that an advisor covers your particular needs. Each advisor will also have their own protocols when dealing with clients. Some prefer initial phone or email conversations to ascertain an ability to take on the case, before proceeding to have a personal meeting to understand the client’s financial situation better.
  4. 4. To learn more about this topic, visit the blog of Kevin Neal.

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