Friday, October 19, 2007
How to Check Out an Adviser
Q: I am considering hiring an investment adviser to handle a portion of my portfolio. Is there a way to check on whether any complaints have been filed against the adviser?
A: That's a great question. Too many people take the adviser's word for it and don't check out his or her records first. In fact, a recent survey by the Financial Industry Regulatory Authority found that 65% of seniors did not check the registration status of a broker and 78% did not check a broker's background for any broken laws or violations...
Kiplingers: How to Check Out an Adviser
A: That's a great question. Too many people take the adviser's word for it and don't check out his or her records first. In fact, a recent survey by the Financial Industry Regulatory Authority found that 65% of seniors did not check the registration status of a broker and 78% did not check a broker's background for any broken laws or violations...
Kiplingers: How to Check Out an Adviser
Permalink posted by markw @ 7:53 AM 
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