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regulated investment advice fact find meeting observation

Client and advisor exchange greetings

Advisor explains purpose of meeting

Advisor asks client to provide necessary documents

Advisor collects personal information from client (name, address, contact information, etc.)

Advisor confirms client's financial goals and objectives

Advisor determines client's risk tolerance

Advisor gathers information on client's income and expenses

Advisor assesses client's assets and liabilities

Advisor reviews client's current investments

Advisor asks client about past investment experience

Advisor determines client's understanding of investment products

Advisor assesses client's investment knowledge and risk awareness

Advisor discusses client's short-term and long-term financial goals

Advisor determines client's investment time horizon

Advisor assesses client's liquidity needs

Advisor provides investment recommendations based on client's goals and risk tolerance

Advisor explains the rationale behind the recommendations

Advisor discusses potential risks and rewards of recommended investments

Advisor summarizes key points from the meeting

Advisor answers any remaining questions from the client

Advisor schedules follow-up meeting to review progress and make adjustments if necessary

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