Check Your Investment Professional
Investing in your future means saving for retirement, college or a rainy day fund. If you're working with an investment professional, or someone is trying to sell you an investment, check them out before handing over your hard-earned money.
SEC Action Lookup – Individuals (SALI)
Enter the individual's name in SEC Action Lookup – Individuals. You can find information about individuals that have been named in SEC court actions or administrative proceedings and had judgments or orders issued against them.
Investment Adviser Public Disclosure (IAPD)
Search your investment professional's background. Enter their name in our Investment Adviser Public Disclosure (IAPD) website to see if they're registered. It's a red flag if they're not! You can also check out whether they’ve ever been in trouble with securities regulators.
For more information visit Investor.gov
.Modified: Sept. 7, 2018