Savings and Investments

Financial Planners and Investment Advisors

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

You may check if there has been any disciplinary action taken against either the person or the firm by going to the Websites of the following organizations: Certified Financial Planner Board of Standards, North American Securities Administrators Association, National Association of Insurance Commissioners, Financial Industry Regulatory Authority, or the Securities and Exchange Commission. You may enter their name and state and find out if there have been any actions taken against them.


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