Tips to Help You Find Financial and Securities Regulation information The federal or state securities rules require brokers, investment advisers and their companies to be licensed or enrolled in their states. There are also mandated to make useful information public. Conversely, it is up to you to look for that data and take advantage of it in protecting your investments. The good news is that this information is easily accessible online. You should first ensure that your broker or investment advisers have not previously had any disciplinary issues with regulators or their other investor before you decide to invest or pay for investment advice. You also need to ask them if they have been registered or licensed by the governing body. Knowing this is important since there will be no way for you to recuperate your money once this unregistered securities brokerage firm becomes bankrupt even if the court rules in your favor. By searching the Central Registration Depository (CRD) database, you will discover so much about most brokers and the specific companies where they work. You will also find more details about these financial brokers about where they worked before and their educational backgrounds. Since Central Registration Depository contains information about these brokers especially when it comes to customers claims; you can request them to give you detailed data about them.
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As soon as you are through checking the registration status and records of your financial company, the other thing you should do is to check whether or not your financial firm is a Securities Investor Protection Corporation (SIPC) member SIPC offers customers protection if the financial firm becomes broke. You will not be qualified for compensation by SIPC if you place your money or securities in the hands of a financial company that is not a SIPC member as soon as the company goes out of business. Once you settle on a few potential companies, it is vital to ask them a few questions during the time you visit them.Some of the questions you should ask are: o Explain to me what experience you have in dealing with customers, especially those who have similar cases like mine? o Which university did you attend and what is your employment history? o Which products and services do you give and whether you can vouch for other products or services to me? o What method of payment do you accept for your services? o Have you previously had a disciplinary action taken against you by any government regulator for unethical conduct or have you ever been sued by a client who was not happy with the work you did? Once they answer all these questions, you will be able to compare the various financial firms and make a decision on which firm you can comfortably work with.