Top 10 Questions
When Choosing a Dealer

No two dealers are alike. As an independent advisor, you’re looking for an organization that has deep management experience, an inclusive culture and state-of-the art technology and processes. Following is a list of questions you should ask as part of your due diligence process.

  1. Do you have an experienced transition team?
  2. At retirement, will you assist me with my succession planning and guarantee the purchase of my practice?
  3. Do you have a robust and competitive fee-for-service platform?
  4. Do you support the use of trade names?
  5. Does your company offer a strong technology platform including:
    • Financial planning software
    • Asset allocation software
    • Personal websites
    • Research
    • Integrated CRM
  6. Will I have access to tech support for web, email, client data and customer relationship management (CRM)?
  7. Can my clients view their accounts online?
  8. Do you offer a share ownership program?
  9. Is there a system and culture in place for my voice to be heard and acted on?
  10. Do you offer a transition bonus for appropriate advisors?