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August 2014 Reference Document: ADVISOR SCREENING QUESTIONNAIRE For use by Managing General Agencies Screening Advisors for Suitability Canadian Life and Health Insurance Association Inc., 2014. Reference

How to fill out advisor screening questionnaire

Who needs advisor screening questionnaire?

1. Individuals seeking financial advice: The advisor screening questionnaire is designed for individuals who are looking for professional financial advice. Whether you are planning for retirement, investing in the stock market, or seeking assistance with managing your finances, this questionnaire can help match you with a suitable advisor.
2. Businesses and organizations: In addition to individuals, businesses and organizations also benefit from the advisor screening questionnaire. They may require financial planning and advisory services for their operations, employee benefits, or investment strategies. This questionnaire ensures that the advisors they choose align with their specific needs and goals.

How to fill out advisor screening questionnaire:

1. Start by gathering relevant information: Before filling out the questionnaire, gather all the necessary information that may be required. This can include your financial goals, investment preferences, risk tolerance, income details, and any specific concerns or requirements you have.
2. Provide accurate personal information: The questionnaire will likely ask for your personal information, such as your name, age, occupation, and contact details. It's important to provide accurate information to ensure the advisors can reach out to you and understand your unique circumstances.
3. Answer questions about your financial goals: The questionnaire will ask about your financial goals and objectives. This can include short-term goals like buying a house or saving for education, as well as long-term goals such as retirement planning or estate planning. Be clear and specific when explaining your goals to help the advisors understand your needs.
4. Assess your risk tolerance: Advisors need to understand your risk tolerance to recommend appropriate investment strategies. The questionnaire may include questions about your willingness to take risks, your reaction to market fluctuations, and other factors that may impact your risk preferences. Give honest and thoughtful answers to ensure accurate matching with advisors who align with your risk tolerance.
5. Provide details about your current financial situation: The questionnaire may ask about your current income, expenses, assets, and liabilities. This information helps advisors gauge your financial health and determine suitable recommendations based on your circumstances. Be transparent about your financial situation to receive relevant and tailored advice.
6. Consider your preferences and values: The questionnaire might inquire about any specific preferences or values you have when it comes to investing or financial planning. For example, you might prioritize socially responsible investments or have a preference for certain industries. By sharing these preferences, advisors can align their recommendations with your values.
7. Review and submit: Once you have completed all the questions, take a moment to review your answers for accuracy and completeness. Ensure that you haven't missed any essential details before clicking the submit button. This will initiate the process of matching you with suitable advisors who can help address your financial needs.

Remember, the advisor screening questionnaire is a tool to help you find the right advisor that suits your unique financial requirements. Take your time to fill it out accurately and provide comprehensive details to ensure the best possible match.

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What is advisor screening questionnaire?

The advisor screening questionnaire is a document used to collect information about a financial advisor's background, experience, and qualifications.

Who is required to file advisor screening questionnaire?

All financial advisors who provide services to clients are required to file the advisor screening questionnaire.

How to fill out advisor screening questionnaire?

The advisor screening questionnaire can be filled out online or in paper form by providing accurate information about the advisor's background, experience, and qualifications.

What is the purpose of advisor screening questionnaire?

The purpose of the advisor screening questionnaire is to help clients make informed decisions when choosing a financial advisor by providing transparency into the advisor's background and qualifications.

What information must be reported on advisor screening questionnaire?

Information such as the advisor's education, professional certifications, work history, regulatory actions, and conflicts of interest must be reported on the advisor screening questionnaire.