Questions for USA top 50 Rep

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Oct 21, 2009 12:50 pm

Hello all, First time poster here.

I am a career changer looking to get into the Financial Advisor business. My background is in financial analysis and accounting.

I have the opportunity to meet a very successful registered rep (Is on those lists of top 50 in the United States).

I am making a list of questions to ask, however what I have so far seems pretty generic. Like, “What are the most important factors to success” or “What should a new advisor be looking for in a firm” things like that.

To those who care to respond: What would you want to ask one of the Financial advisors in the United States? Obviously I want to make a good impression.

Oct 21, 2009 1:46 pm

Any corny question you're thinking of asking him has already been asked to him 50,000 times.  By now he's going to rattle off to you some canned answer that is probably more easy for him to say, but probably has little to do w/his own business.  Go in there and ask him to tell you about his business.  Why does he love it?  Why did he make it and all his friends he started with failed?  How does he keep compliance off his ass when the law of averages says if you have a practice as large as his there is bound to be some a$$hole client that one day decides to throw a hissy fit about fees or suitability? 

Oct 21, 2009 4:18 pm

Thanks for the reply. That kind of Corny line of questioning was exactly what I wanted to avoid. I think what you suggest makes allot of sense: Ask him about his story, such as how he got started, how he built his business, What separated him from the “average” rep, and similar.

Other Ideas are welcome.