1. Acting as if they know exactly what the financial markets are doing and why.
  2. Not being quickly and easily accessible via phone or email.
  3. Not continuing to research a client’s financial situation for a better solution.
  4. Not recognizing a total solution by ignoring the client’s portfolios managed by outside firms.
  5. Not speaking to and working deeply with both members of a couple.
  6. Limiting recommendations to the products provided by the advisor’s firm.
  7. Failing to address the risks associated with an investment.
  8. Failing to give ancillary and holistic advice on a client’s financial issues once the portfolio is established.
  9. Talking over a client’s head and using jargon.
  10. Managing client assets without knowledge of the client’s comprehensive financial plan.