Broker Check

How Can I Learn More About A Financial Advisor?

| November 16, 2018
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How Can I Learn More About A Financial Advisor?

Visiting a financial advisor’s website can assist you toward learning about a financial advisor’s bio including their experience, education, and business focus. Meeting with the financial advisor can also enhance your knowledge as you get to know them a bit better. Yet, in both of these instances, you will likely not learn about any disciplinary actions they may have had such as customer complaints, suspensions, financial settlements and other matters. To assist, there is a website you can go to called www.finra.org whereby you can enter their name on the “Broker Check” search and obtain a report (both a summary and a detailed report may be obtained at no cost). (Please note that compliance approved financial advisor websites should have a hyperlink to enable investors to access this information from the advisor’s website as well).

This BrokerCheck report will show you information such as other names the advisor may have used, the address of their office(s), past employment history, years in the industry, states where they are registered to do business, any outside business activities (other jobs, business dba names, board positions), and disciplinary history.

It is important to review background information such as this when evaluating whether or not to do business with a financial advisor.

This information is provided for general informational purposes only and is not intended to provide advice to any individual.

Seek professional advice from a qualified professional before taking any action in regard to your finances.

I am pleased to assist you, your family members, friends, and colleagues and offer a complimentary first appointment.

Todd A. Slingerland, CFP®

6 Tower Place Albany, NY 12203

(518) 867-4000 x105  [email protected]  www.capitalfinancialplanning.net

 

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