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How to Do a Background Check on Your Financial Pro

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How much do you know about the people offering advice about your money — or even hands-on managing it? Consumers have access to a lot more information about a financial pro than what’s presented in a brochure or mentioned during a meet-and-greet.

Here’s how to find out all you can before handing over your hard-earned dollars.

Research a broker

People or firms who handle investment transactions (buying or selling securities such as stocks, bonds, mutual funds and other investment products) are considered “broker-dealers.” They are required to register with the Securities and Exchange Commission as a registered representative and also be members of the Financial Industry Regulatory Authority.

Using FINRA’s BrokerCheck tool, individuals can...

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