CHECKING UP ON AN ADVISOR

The various organizations and government agencies that regulate financial professionals also offer websites that allow investors to check into advisors they are considering doing business with.  Here are some places to check into the advisors you are meeting with:

 

Your state securities regulator - www.nasaa.org

 

FINRA BrokerCheck tool - www.finra.org

 

Certified Financial Planning Board of Standards (if the advisor is a CFP) - www.cfp.net

 

 

The LPL Registered Representatives associated with this site may only discuss and/or transact securities business with residents of the following states : AL, CA, CO, FL, GA, ID, IL, MI, MN, MO, NE, NC, NJ, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, VA, WA

 

Securities and Financial Planning offered through LPL Financial, a Registered Investment Advisor.

Member FINRA/SIPC.

 

Check the background of investment professionals associated on this site on FINRA's Broker Check.

 

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