Financial Advisors

Qualification Questionnaire

Advisor Details

General Advisor Information

Are you accepting new clients? *
Have you been actively engaged full-time as a licensed or credentialed professional in financial services for the past three years? *
I am: (check all that apply) *
Are you in compliance with regulatory requirements of the SEC, state securities regulators in states where you do business, and self-regulatory bodies *
Are you in good standing with the standards of the firm with which you are affiliated (if applicable)? *
Have you had more than three settled or pending customer complaints filed against you with any regulatory authority (excluding dismissed complaints)? *
Have you been subject to a regulatory action that resulted in your license being suspended or revoked, or payment of a fine? *
Have you ever been convicted of a felony? *
Have you filed for personal bankruptcy within the last 10 years? *

In terms of percentages, approximately how many of your clients would you say are women? Men? Couples?*

Education,  Certifications and more

What other professional designations have you earned or received? Select all that apply
Which of the following life stages do you provide financial services to. Select all that apply
Where did you hear about Women's Choice Award For Financial Advisors? *

Who is completing the survey

This information is for internal purposes only.

Photos (Optional)

Files allowed (JPG, JPEG & PNG) 10mb max
Files allowed (JPG, JPEG & PNG) 10mb max

I certify that the survey information provided above is accurate and may be used by WomenCertified Inc. on the Women’s Choice Award website. Financial advisors  and secondary contact email and phone details provided will not be made public on the website or used for any promotional purposes. Applicants may not use the Women’s Choice Award award logo (seal) without licensing rights. For more information contact kwaldhof@womenschoiceaward.com.