Links, Templates & Calculators

Dealing with Financial Advisors

Links to Check Advisor Background:

FINRA’s BrokerCheck

SEC Adviser Info, Investment Adviser Public Disclosure


Fee-Only Financial Advisors:

National Association of Personal Financial Advisors (NAPFA) – Fee-only financial advisors who take a fiduciary oath each year.

Garrett Planning Network – A network of fee-only financial planners


Government Regulators and Self-Regulating Agency Links:

Consumer Financial Protection Bureau (CFPB, 2011).

Securities and Exchange Commission (SEC)

Financial Industry Regulatory Authority, Inc. (FINRA)

Compare Professional Designations using FINRA’s tool

FINRA Financial Advisor Qualification Exams


Investopedia on Robo-Advisors

Advisor Evaluation Template

Use the attached template to evaluate prospective advisors.

Audiobook-related documents

Audiobok 1 Companion Document: Personal Finance Essentials for Doctors.

Overview of Select Financial Institutions

This document provides some highlights for a selection of popular financial institutions.


Some recommended podcasts on economics, finance, and investments.

Bloomberg Surveillance 

NPR Marketplace

Bloomberg Stephanomics

Planet Money (NPR)


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