Be Prepared

Before the Meeting:

  • Get your interviewer’s bio and cell number from your recruiter.
  • Arrive early. Know where you’re going, prepare MapQuest directions in advance.
  • Dress professionally, be well groomed, go lightly on perfume or cologne.
  • Research the company’s website so you’re familiar with it’s history and business model.
  • Prepare a list of questions.


At the Meeting:

  • Relax…make eye contact…smile…establish rapport…share a laugh.
  • Be positive…speak well of your present situation.
  • Tell a few success stories and offer examples of how you go about obtaining new clients, and how you plan to grow your business.
  • Show humility…be kind to a waiter or assistant.
  • Do not inquire about the deals in your first meeting.
  • Ask the Hiring Authority what influenced him or her to join the company.
  • Ask what his or her team’s greatest accomplishment has been at the firm, as well as their biggest challenge.
  • Ask how the firm will help you grow your business.
  • Ask what’s different at the new firm compared to your present firm, such as technology, products, management style, etc.
  • Ask about their management style. How do they bring out the best in their employees?
  • What is the firm’s national average FA T12 & AUM, what is the branch’s average FA T12 & AUM, how many FA’s are in the branch you are considering?
  • Ask what their expectations will be during your first 6 to 12 months.
  • At the end of the meeting, ask how they see you and your business model fitting in with their team.
  • Be clear what the next step is and when.


After the Meeting:

  • Send a handwritten “Thank You” note to your interviewer.
  • Let your recruiter know how it went.