Choosing an Investment Professional
A qualified investment professional can help you make sound investment decisions, assist with financial goal setting and keep you informed about how the economy and financial markets are affecting your investment portfolio. There are many types of investment professionals—including brokers, investment advisers and financial planners. The person or team of professionals you work with will depend on the type of financial help you seek.
- SEC Action Lookup
Use this tool for formal actions that the SEC has brought against individuals.
- What to Expect When You Open a Brokerage Account
This publication explains what to expect if you do decide to open a brokerage account, including what information you will be asked to provide, what decisions you will be asked to make, what questions you should ask your broker and what your rights are as a customer of a brokerage firm.
- Tips for Working With Your Investment Professional
These tips can help ensure a productive relationship with your investment professional.
- Understanding the Brokerage Firm Transfer Process
At times, investors transfer their securities accounts between broker-dealers. Here are some basic facts about the account transfer process.