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Check Your Investment Professional

May 31, 2024

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.

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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.

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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.

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