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BrokerCheck Resources

Go to your state securities regulator to do additional research on brokers and advisers.

Look up the backgrounds of other financial professionals:

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Contact your state's insurance commission or call (866) 470-6242

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Certified Public

CPA License Verification

Has SEC brought any formal actions against an individual? Check here.

Does a financial professional have a criminal record? Check here.

Working With Investment Professionals

Additional Organizations and Resources