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Here are a couple questions that I would ask when involved with someone in finance.

1. How are you compensated? Conflicts of interest may be bad - at a minimum, they should be admitted. Are they compensated to buy/sell? If yes, they may buy or sell more frequently in order to pay themselves more - and at the same time, charge you fees. Also, the more selling is done, the more likely (in many situations) a higher tax rate is paid.

2. Are you a fiduciary? This means - is the person required to put your best interest first - you want the answer to be "yes."

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