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October is CFTC SmartCheck Month

We all know an informed investor is a successful investor. So all month long, we’re delivering tips, educational articles and events to empower investors like you.

Here’s one to get the ball rolling: Did you know most financial advisors must be registered or licensed with a government regulator or self-regulatory organization? If you haven’t checked your firm, advisor or broker lately, give it a try now using the three tools below.

How to Run a Background Check.

  • Be sure to complete ALL three searches.
  • Find out what to do if you don’t locate your financial professional. Learn More
  • Contact your state regulator with questions. Find Your State