Questions to Ask an Investment Advice Provider

This document is about a list of important questions to ask an investment advice provider, especially regarding their fiduciary status under federal laws, the fees and expenses they charge, and any conflicts of interest they may have. The questions cover topics such as whether the provider is a fiduciary, the limitations on the investments they recommend, how they monitor investments, the rationale for rolling over accounts, the fees and expenses involved, and any payments or conflicts of interest the provider has. The goal is to help retirement account holders make informed decisions when choosing an investment advisor.