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 https://www.sec.gov/oiea/QuestionsAndComments.html.

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.  In addition, SEC-registered brokers and investment advisers are required to provide a customer or client relationship summary (also called Form CRS) to retail investors. Visit Investor.gov/CRS to learn more about the relationship summary and the differences between brokers and investment advisers, including how they are paid for their services.

Investor.gov has a free and simple search tool that allows you to find out if your investment professional is licensed and registered and view their Form CRS/relationship summary. Here are some additional resources that can help you select the investment professional that is right for you:

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