Comprehensive Financial Planning
COMPREHENSIVE FINANCIAL
PLANNING DIAGNOSTIC
14. If you earn commissions, approximately what percentage of your firm’s commission income come s
from?
___________% Insurance products
___________% Annuities
___________% Mutual Funds
___________% Limited Partnerships
___________% Stocks and bonds
___________% Coins, tangibles, collectibles
___________% Other: ________________________________
15. Does any member of your firm act as a general partner, participate in, or receive compensation from
investments you may recommend to me?
¾ Yes _____
¾ No _____
16. Do you receive referral fees from attorneys, accountants, insurance professionals, mortgage brokers,
or others?
¾ Yes _____
¾ No _____
17. Do you receive on-going income from any of the mutual funds that you recommend in the form of
"12(b)1" fees, "trailing" commissions, or other continuing payouts?
¾ Yes _____
¾ No _____
18. Are there financial incentives for you to recommend certain financial products?
¾ Yes _____ (If yes, please explain)
¾ No _____
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