Match Identity Before Credentials
Search the legal name and firm in the appropriate official record. Compare location, employment history and registration identifiers. People with similar names can be different individuals. Save the report date and ask for clarification about discrepancies.
Read the Report, Not Only the Headline
BrokerCheck can show registration, employment and disclosure information. A disclosure requires context; its presence alone does not establish wrongdoing. Advisory records may instead be found in IAPD. Registration is not a regulator endorsement or a promise that an investment is suitable.
Verify the Channel Independently
An impersonator can copy a real professional’s record. Contact the firm through a number you obtained independently from its official website. Confirm the person, the proposal and where funds would be held. Do not use a phone number supplied only in an unsolicited message.
Put It Into Practice
0 / 5 reviewedContinue with Original Sources
General education, not personal investment, legal or tax advice. Rules and product terms can change. Confirm current requirements at the original source.