Personal Assistant Recipes money · No. 36
vetted a financial advisor against their public SEC record
— @sifxtreme, 22 September 2026

Recipe No. 36

Vet an Advisor Against the Public Record

Serves Anyone interviewing wealth / insurance / advisory pros

Vet a financial advisor against their public SEC record.

You will need

Method

  1. Ask for a plain-English summary of registrations, disclosures, and tenure.

  2. Require links to the official pages, not blog SEO.

  3. Have the agent list 5 interview questions tailored to red flags found.

  4. File the one-pager in your notes before the call.

See also

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