Top 10 Questions To Ask Your Financial Advisor

  1. Can you describe for me how you are compensated?
  2. Does your firm have any quota’s you must meet?
  3. Are there any financial products you are unable to sell because of your licensing or your firm will not allow them to be sold?  Which?  Why?
  4. Are there any products that are manufactured by your company?
  5. Describe for me your asset management strategy?
  6. How much experience do you have?
  7. Are you making the investment decisions or are you following someone else’s philosophy?
  8. How many firms have you worked with in the past?
  9. Why did you choose this firm?
  10. What are your financial goals?

Money Management Solutions for the X and Y Generation - oXYGenFinancial

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Kile Lewis, CRPC®

Co-CEO and Founder oXYGen Financial, Inc.


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oXYGen Financial, Inc. co-CEO Kile Lewis is one of the foremost knowledgeable professionals in giving financial advice to the X and Y Generation.

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About the author  ⁄ Ted Jenkin @ Your Smart Money Moves

Ted Jenkin @ Your Smart Money Moves


My friends and family all think I’m a workaholic, but I say I’m just a guy that loves to help people do better in life.

My mother is still the only one that calls me by my real name Theodore Michael, my wife calls me Teddy, but for the rest of you it is just plain old Ted.

Ever since I was a little kid, I always loved money and being an entrepreneur. In fact, I still have cassette tapes of me talking to my grandmother at the age of five and my mother tells me all the time how much I played with money as a kid...

Read More About Ted Here

Ted Jenkin is a frequent guest columnist for the Wall Street Journal and Headline News Weekend Express. He is the co-CEO of oXYGen Financial. You can follow him on LinkedIn @ www.linkedin.com/in/theceoadvisor or on Twitter @tedjenkin.

Securities offered through Kestra Investment Services, LLC (Kestra IS), member FINRA/SIPC. Investment advisory services offered through Kestra Advisory Services, LLC (Kestra AS), an affiliate of Kestra IS. oXYGen Financial is not affiliated with Kestra IS or Kestra AS. Kestra IS and Kestra AS do not provide tax or legal advice.

The opinions expressed in this commentary are those of the author and may not necessarily reflect those held by Kestra Investment Services, LLC or Kestra Advisory Services, LLC. This is for general information only and is not intended to provide specific investment advice or recommendations for any individual. It is suggested that you consult your financial professional, attorney, or tax advisor regarding your individual situation. 

Background and qualification information is available at FINRA's BrokerCheck website.


  • Avatar
    September 23, 2010

    After the financial crisis, when I see financial planners/advisers, they really scare the shit out of me. This seems to apply to alot of people, who avoid them rather than talk to them.

    Great questions to ask the financial planners before we listen further, or worst, sign on the dotted line.

    Of course we should also give newbies a chance as everyone needs to start from somewhere.


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