A few simple checks may save you from dealing with an unscrupulous financial professional, a disreputable firm or paying higher fees than you expected. It’s worth checking any disciplinary problems or disputes, this can be easily done by visiting the broker check website and searching for both the investment adviser firm and the individual adviser. Any FINRA/SEC registered adviser firm will be able to provide you with the companies CRD number which will help you identify them.
Check the background of our advisers on the Investment Adviser Public Disclosure page.
Carrying out these checks is important, because if you do business with an unregistered firm that later goes out of business or if you have a dispute regards the advice given, there may be little recourse — even if an arbitrator or a court rules in your favour.
If you are approached by a firm that is not properly licenced and registered here in the US or not authorised to offer advice here, there is a government whistle blowers website you can visit and report any company that is not registered.
The SEC (Securities Exchange Commission) takes this very seriously and in some cases, offer a reward for information leading to successful action.
You can reach us directly by calling us between the hours of 8:30am and 5pm at each of our respective offices and we will immediately assist you.