Broker Check

Financial Planning Process

The financial planning process includes several steps, all designed around creating the best plan for your unique needs.  The process includes:

  • Introductory meeting to discuss your goals
  • In depth analysis
  • Creation of the plan and presentation of solutions and alternatives
  • Revisions of the initial draft plan
  • Presentation of the final written document

First Allied Securities, Inc.(FASI), a Registered Investment Advisor (RIA) provides financial planning services.  The amount varies based on the complexity of the work required.  On behalf of First Allied Securities, Inc., an Investment Advisor Representative will meet with you to discuss your unique situation.

The Financial Planning Process


As a first step, we will work with you to determine your goals for each area of the financial plan.  During this step, you will be asked to complete a confidential questionnaire. Our meeting will focus on gathering data on your specific information in order to help us understand and help you define your personal financial goals and objectives.

The next step of the process includes developing coordinated analysis and recommendations; incorporating them into a detailed written plan.

We then review with you your draft plan. After your review, we will make changes or updates to the financial plan.  An Investment Advisor Representative of ISI will present you with a final written financial planning document that includes all the changes.

After the final plan is created, we will create a schedule for implementing the plan.  An Investment Advisor Representative can help you on matters as diverse as estate planning, risk management and retirement planning. We maintain strategic alliances with accountants, tax attorneys and estate planning attorneys to facilitate the achievement of your financial goals.

Periodic consultation is a core part of our service; we recommend meetings at least once a year to review changes in your circumstances and to monitor and adjust the financial plan.

As part of the implementation process, you will work with an Investment Advisor Representative during our Investment Advisory Process.

Individual Services

Financial Planning

Financial Planning Process

Investment Advisory Process