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| Check Out Brokers and Investment Advisers |
home | previous page protect your money: check out brokers and investment advisers research individual brokers or firms research investment advisers (firms only) what the letters mean: investmentd see if they or their firms have had run-ins with regulators or other investors. this is very important, because if you do business with an unlicensed securities broker or a firm that later goes outfrom the crd than nasd, especially when it comes to investor complaints, so you may want to check with them first. you'll find contact information for your state securities regulator on the website ofnts. in most cases, these people must be licensed or registered with your state securities regulator to do business with you. so be sure to check them out with your state securities regulator. to findtered investment advisers—individuals as well as firms—in every state. you can also get copies of form adv for individual advisers and firms from the investment adviser, your state securitiesith a brokerage firm, you should find out whether the brokerage firm and its clearing firm are members of the securities investor protection corporation (sipc). sipc provides limited customerservices to me? if so, why? how are you paid for your services? what is your usual hourly rate, flat fee, or commission? have you ever been disciplined by any government regulator for unethical or
http://www.sec.gov/investor/brokers.htm - 13k
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http://www.sec.gov/investor/brokers.htm
2005-12-03 20:29:56
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