Client Resources
Due diligence for your protection
Credit Report
Credit is much more than a piece of plastic, and the resources on this site can help you become a more savvy consumer. You’ll also find compliance requirements for businesses and information about the FTC’s recent law enforcement actions. http://www.ftc.gov/bcp/edu/microsites/freereports/index.shtml
FINRA
As the world’s leading private-sector provider of financial regulatory services, FINRA has helped bring integrity to the markets – and confidence to investors – for more than 60 years.
http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/
U.S. Securities and Exchange Commission
The SEC protects investors by enforcing our nation’s securities laws, taking action against wrongdoers, and overseeing our securities markets and firms to ensure that investors are treated fairly and honestly. The SEC is responsible for implementing a series of regulatory initiatives required under the Dodd-Frank Wall Street Reform and Consumer Protection Act.
http://www.adviserinfo.sec.gov/
