Ways of Finding Financial and Securities Regulation information The federal or state securities laws have made it mandatory for brokers, investment advisers, and their firms to be licensed or registered in their particular states. There are also mandated to make useful information public. However, it is up to you to search for that information and make use of it in protecting your investments. The good news is that this information is easily accessible online. Before you decide to invest or pay for investment advice, you should first make sure that your brokers or investment advisers have not previously had any disciplinary problems with regulators or their other investors. You should also find out from them if they have been registered or licensed by the governing body. It is important to know this kind of information because there will be no way to recover your money as soon as this unregistered securities brokerage company becomes bankrupt even if the court rules in your favor. You will find a lot of details about many brokers, and the particular firms that they work for once you search them on the Central Registration Depository (CRD). You will also discover details about where these financial agents worked before plus their academic qualifications. You can also request your state securities regulator to provide you with more information form the Central Registration Depository as they can give you information especially when it comes to customers claims.
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As soon as you are through checking the registration status and records of your financial company, the other thing you should do is to check whether or not your financial firm is a Securities Investor Protection Corporation (SIPC) member SIPC offers customers protection if the financial firm becomes broke. If you place your money or securities in the hands of a financial company that is a non-SIPC member, then you are not entitled to compensation by SIPC the minute the company goes out of business. As soon as you decide on a few prospective companies, it is crucial to ask them a few questions during your meeting with them. Some of the questions you can ask are: o Clarify to me what experience you have in handling clients, especially in my case? o Which university did you attend and what is your employment history? o Which products and services do you give and whether you can vouch for other products or services to me? o What kind of payment method do you consent to for your services? o Have you previously had a disciplinary action taken against you by any government regulator for unethical conduct or have you ever been sued by a client who was not happy with the work you did? The minute they answer all of these issues, you should compare all the financial companies and choose the company that you are comfortable working with.