Investment Professionals

Choosing whether to work with a professional – and deciding which type is best for you – is a very important decision.  The information below provides a few key tips to help you make a well-informed choice.  Should you have any questions for us, feel free to call our toll-free investor assistance line at 1-800-SEC-0330 or use our online question web form at

The most important question that you should consider before hiring an investment professional is whether the person is registered with us or with a state securities regulator.  It is really risky to invest with someone who isn’t licensed and we urge you not to do it. has a free and simple search tool that allows you to find out if your investment professional is licensed and registered.

Here are some resources that can help you select the investment professional that is right for you: