Investment Advisor Questionnaire


Investment advisor questionnaire is one that is provided by an investor to an investment advisor. The primary aim of this questionnaire is to understand the capabilities and knowledge levels of the investment advisor. This questionnaire is ideal for an investor to evaluate the investment advisor and to ensure safety for the money invested during the process. To help you build this type of questionnaire, below are few sample questions, which will help you in formulating an investment advisor questionnaire.

Sample Investment Advisor Questionnaire

Name :                                                               ____________________________

Address :                                                           ____________________________

No of years working as investment advisor : _________________________

Contact No :                                                       ___________________________

Birth date :                                                         ___________________________

 

Q1) Are you a registered investment advisor. If yes please provide your investment registration number?

_______________________________________________________

Q2) Do you file a disclosure form every year with the investment regulatory authority?

a. Yes
b. No
Q3)  Have you ever undergone any kind of disciplinary action by the investment regulatory authority at any point of time during your stint as an investment advisor?

a. Yes

b. No

Q4)  Will you be providing a contract letter for investment in case I decide to invest through you?

a. Yes

b. No

Q5) Do you provide a bill or receipt for the investment which clearly specifies your commission and other processing charges that I have to bear as an investor?

a. Yes

b. No

Q6) Do you provide a list of investment services offered by you along with the responsibility you take for the investment made by an investor?

a. Yes

b. No

Q7) Please specify the various kinds of portfolios you have handled since your inception as an investment advisor?

 _______________________________________________________

Q8) What is the average rate of returns you promise to your investors on the investments made by them every year?

 _______________________________________________________

Q9) What is the time frame that you take to update me the progress of my investment?

a. Weekly

b. Monthly

c. Quarterly

d. Once in a year

Category: Investment Questionnaire

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