Free template for managers who recruit financial advisors
Ten questions with what to listen for in each answer, a scorecard that treats every candidate the same, and the licensing check to make before an offer. Copy it, print it or download it for Word or Excel. Free, no sign-up.
Most candidates interview well. They're warm, they like people and they want to help. The ones still with you after a year also make calls when nobody's watching, hear no without taking it personally, and can get through a lean first year. These questions ask what a candidate has done rather than what they'd do. Under each one there's a line for what they said, so you compare answers instead of how much you liked the person.
Date: ______ Interviewer: [you] Referred by: ______
One thing on their CV to ask about: ____________
The 15-minute screening call is done: yes / no
The exams they'll need, and when they could sit them: ____________
Anything that could fail your firm's fit and proper check, asked on your declaration form: ____________
1. Why this job, and why now?
Listen for: a reason beyond the money, and a clear picture of what the work is.
2. Tell me about a time you had to get a stranger to agree to meet you.
Listen for: what they actually did, how many tries it took, and what they'd do again.
3. Who are the first 20 people you'd call, and what would you say to them?
Listen for: real names and a plan, not "everyone I know".
4. Tell me about a month when nothing you tried worked. What did you do in the third week?
Listen for: more calls and a change of approach, with no blame.
5. Walk me through a normal week in your job now. What do you do without anyone asking?
Listen for: a routine they keep on their own.
6. How will you fit the exams around what you're doing now?
Listen for: dates, not "I'll find the time".
7. A client wants to buy something you think is wrong for them. What do you do?
Listen for: the client's needs first, and a note on the file, even if it costs the sale.
8. The first year is usually the lean one. How many months could you cover your costs while your income builds?
Listen for: a number they've worked out.
9. Tell me about feedback you disagreed with. What did you do with it?
Listen for: something they changed.
10. What do you want to ask me?
Listen for: questions about training, support and the work, as well as the pay.
| Area | Score (1 to 5) | What they said |
|---|---|---|
| Why this job | ||
| Meeting strangers | ||
| Their first 20 names | ||
| Handling no | ||
| Their own routine | ||
| The exams | ||
| Doing right by clients | ||
| Covering the lean year | ||
| Taking feedback | ||
| Their questions |
Asks only about the money, or the most anyone has ever earned
Can't name ten people they'd call
Blames every past job on a manager
Treats the exams as a formality
Total score (out of 50): __
Next step: second interview / a day with the team / no Date: ______
Exams booked for: ______
Why: ____________
Same questions, same order, and the scoring after they leave.
A score only means something next to another candidate's.
Two interviews on the same Tuesday, scored the same evening. The names are made up.
Wei Ling scored 4, 5, 4, 4, 5, 4, 4, 3, 4 and 4, which adds up to 41. Marcus scored 3, 2, 2, 2, 3, 3, 5, 2, 4 and 2, which adds up to 28.
Swap one in when a candidate's answer needs a second try.
"What's the most people you've had to contact in one week, and how did you keep track of them?"
"Who's the last person you talked into trying something new?"
"What's the biggest no you've had at work, and what did you do the next day?"
"What time did you start last Monday, and what did you do first?"
"What have you kept doing every week for a year, without anyone checking?"
"Tell me about a time you told a customer not to buy something."
"How did you prepare for the last exam you sat?"
"Tell me about a month when you earned less than you'd planned. What did you change?"
Check this before the offer, not after the training.
The template is free. ActivityTracker, the app we make, is paid. Once someone joins, their calls and appointments are one tap each to log, so you see their week while it can still change.
The template is free to use. The app is paid and shows a new advisor's calls from their first week.