Awkward Questions You Need to Ask Your Financial Adviser

Put brokers, financial planners, and asset managers on the spot.


You may also opt to call your state securities regulator. Contact the North American Securities Administrators Association at 202-737-0900.

To check out investments, ask first: Is this investment registered with the SEC or with my state securities regulator? Use the SEC's EDGAR database of company filings or call your state securities regulator.

Also check out NFA's Background Affiliation Status Information Center, or BASIC.