☛ Why do you want to be a financial advisor?

☛ What licenses and certifications do you have? What plans do you have to acquire additional licenses and certifications?

☛ What sales experience do you have?

☛ Tell me about your education and professional development as it qualifies you for this job.

☛ What is the average portfolio of your clients?

☛ Are you comfortable meeting with clients on person and talking to them on the phone?

☛ Tell me about your ability to establish rapport with prospective clients.

☛ Are you connected to the community?

☛ What are your wealth management strategies?

☛ If I were a client, why should I work with you?

☛ Without compromising any confidentiality, tell me about your success in wealth management for your clients.

☛ In what stages of their investment paths are the majority of your clients?

☛ Are they early-term investors, pre-retirement, or otherwise?

☛ How do you achieve your goals?

☛ How do you build relationships with clients? How do you approach clients who are neophyte investors? What about seasoned investors -- how do you establish credibility with these clients?

☛ How will you grow your book?

☛ How big is your current book of business?

☛ What kind of growth have you experienced in previous financial advisor positions?

☛ Describe a situation in which you went above and beyond for a customer.

☛ What is the difference between a broker/dealer and a financial advisor?

☛ Do you consider yourself conservative or a risk taker? How to explain your personal investment style to investors whose investment styles differ from your own?

☛ Describe your love for numbers, finance and the type of work you do.

☛ Describe a time when you had to help someone make a difficult decision.

☛ How many people do you know salaried at 100k or more in a year?

☛ How do you stay current on tax and investment laws and regulations?

☛ What are your career goals? Where do you want to be in five years and ten years?

☛ If we were to hire you, what would be your expectations for this firm? And, if we hire you, what do you bring to the organization?