Posts made in March, 2011

Avoid Investment Scams

Posted by in Resources

Verify Your Advisor’s Registration and History

It is important for you to verify your professional is actually registered with the regulatory agency to serve you. Many scams and investment frauds are committed by criminals who claim to be financial professionals. This one small step may save you a substantial amount of money and time.

Investment professionals will be registered with FINRA, the SEC, or both.  Here are links to these regulatory websites which allow you to quickly verify your professional’s, and their firm’s, registration. These are public records and may also include disciplinary history.

SEC – To check Registered Investment Advisors and their Investment Advisor Representatives

FINRA – To check Registered Representatives/Brokers

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Getting There! What Investors Should Do Now

Posted by in Audio/Video, Getting There!, Video

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