Investing Resources

Financial Planners

How can I check the disciplinary history of a potential financial adviser?

You may check if there has been any disciplinary action taken against either the financial planner or his firm by going to the following websites: Certified Financial Planner Board of Standards, North American Securities Administrators Association, National Association of Insurance Commissioners, FINRA, or the SEC. You may enter the planner’s or firm’s name and state, and discover whether there have been any actions taken against either.



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