Contact your state’s securities regulator.Use the SEC Action Lookup tool, which provides details about any investment professional who’s been named in an SEC court case or administrative case.With this database you can investigate an investment advisor’s background. Take advantage of the Investment Adviser Public Disclosure tool from the Securities and Exchange Commission (SEC).The Financial Industry Regulatory Authority (FINRA) BrokerCheck tool allows you to research a stockbroker or any other professional who buys and sells investment products.A financial advisor might be equipped to help take the mystery out of taxes. ![]()
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