Verify Your Investment Professional

You can verify your Investment Professional by doing the following:

 

ASK - About the Firm and Financial Professional

Are you and your firm registred or licensed with?

  • State Securities Regulator - Vermont Securities Division
  • FINRA - Financial Industry Regulatory Authority
  • SEC - Securities and Exchange Commission

CHECK - Verify the answers by checking out their background

ASK - About the Investment

  • Is this Investment registered with the SEC or my state securities regulator?
  • Do you have a prospectus that I can read?

CHECK - Verify that the investment is legitimate

  • SEC's EDGAR database www.sec.gov/edgar.shtml
  • Vermont Securities Divsion 1-877-550-3907
  • Read the prospectus
  • Check out the Company