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Start Your Investing Year Off Right

Posted by CFTC Staff /
Fraud really doesn't care

The holidays are over and 2015 is in full swing, which means it is time to check the background of your financial professionals. Whether you’ve been working with the same financial professional for years, or you are considering utilizing a new one, check his or her background at

Why should you check the background of your existing financial professionals? Because, a lot happens in a year. Much like you check the batteries in your smoke alarm on a yearly basis, you need to ensure your existing financial professional is legitimate. You may simply confirm that your financial professional is as solid and trustworthy as always. However, you may discover new information about his or her background that you’ll want to ask your financial professional about.

If you are considering a new financial professional to advise you on your investments or provide another service, make sure you check his or her background as well.

Remember, check your financial professionals’ background once a year, and every time you engage a new one. Put a reminder in your smartphone calendar, check out, and help protect your investments from fraud.

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Investing can be risky. Make sure your financial professional is properly registered and check their disciplinary history.


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