Choosing an Advisor
Investment professionals can help you plan your financial future and make investment decisions. But it’s important to do your homework when selecting an investment professional.
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Choosing an Investment Professional
Before you engage an investment professional, make sure you know more than just their name and professional designation. Here are some steps you can take to find an investment professional that can meet your financial needs. Learn more.
Finding a Broker and Brokerage Firm
There is more to finding a broker than knowing which ones might not be trustworthy. The key is finding the broker and brokerage firm that make you feel comfortable and best meet your personal financial needs. Read more.
Understanding Professional Designations
You should be careful judging anyone's qualifications from a set of initials following a name. To better understand what a given designation means, use this tool.
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FINRA BrokerCheck
Check the professional background, registration/license status and disciplinary history of the firm and the brokers with whom you're planning to do business. Use it today.
Resolving Disputes
Although most business in the securities industry is completed without problems, disputes and controversies occasionally arise. FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms, and individual registered representatives. Learn more.
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Read Frequently Asked
Questions About Saving &
Investing
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