Important Questions Investors Should Ask Their Financial Professionals Regarding Financial Professional Titles

Stockbroker Law - Wednesday, November 25, 2015
Important Questions Investors Should Ask Their Financial Professionals Regarding Financial Professional Titles

A joint investor bulletin of the North American Securities Administrators Association (NASAA) and the Securities Exchange Commission (SEC) suggests that investors should ask the following questions of their financial professionals who are touting their professional titles:

  1. Are you employed by a registered broker dealer?
  2. Are you employed by a registered investment advisor?
  3. Are you or your firm registered with a state securities regulator?
  4. Are you or your firm registered with any other State or Federal regulator? This could include insurance maintained by various States, as well as banking-related firms.


We offer a free initial consultation to investors who feel they may have been victimized by financial professionals.  For an appointment, contact The Law Offices of Timothy J. O’Connor at (518) 426-7700.

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