Naughty or Nice? Financial Advisor Behaviors

Do you think your financial advisor belongs on the naughty list or the nice list this year? Eric talks through a few scenarios that financial advisors may face to set the record straight on whether it is nice or naughty. If you come across a similar situation, hopefully, this will shed some light on reasonable expectations clients should have with their advisors.

Which of these are naughty and which of these are nice? Find out!

• A retirement planning meeting replaces an annual review scheduled for 6 months later. (1:09)
• Asset minimums are required for clients. (4:37)
• Handling an investment change with a mere voicemail. (6:44)
• Advisor won’t transfer money without verbal confirmation. (9:09)

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