Stockbroker Law - Wednesday, October 28, 2015
Investors Beware - The Importance of Researching Financial Professional Titles of Your Finanacial Advisor

The North American Securities Administration Association (NASAA) and the Office of Investor Education and Advocacy of the Securities and Exchange Commission (SEC) have issued a joint bulletin encouraging investors to look beyond a financial professionals’ credentialing initials and title in order to determine what type of financial professional you are dealing with.

The explosion of financial professional titles and initials, oftentimes inserted after investment professional’s names, is enough to confuse the average investor and many of these purported titles, initials, certifications are virtually meaningless in the bigger scheme of things.  A title and/or initial after the name of your purported financial professional does not assure competent, ethical and honest advice.  Many financial professionals use various titles and initials even though they may not be registered or licensed with a State or Federal securities regulatory authority or self-regulatory authority.

Working with a financial professional who has a long-term history of registration or licensure with Federal, State and/or self-regulatory authorities may be helpful in determining whether or not this individual has the appropriate professional history to be doing business with you.

The bulletin issued by NASAA and the SEC includes an important link entitled “How to Check on the Financial Professional’s Title” which can afford you essential information.

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


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