This is very important, because if you do business with an unregistered securities broker or a firm that later goes out of business, there may be no way for you to recover your money even if an arbitrator or court rules in your favor.
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Before you invest or pay for any investment advice, make sure your brokers, investment advisers and investment adviser representatives have had run-ins with regulators or other investors.
Or have an advisor contact you.
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This is very important, because if you do business with an unregistered securities broker or a firm that later goes out of business, there may be no way for you to recover your money even if an arbitrator or court rules in your favor.
If the client has shorter term goals, the adviser should recommend less volatile investments such as cash, Certificates of Deposit, and bonds. The longer time horizon to achieve the goal, the more the adviser would be able recommend more volatile investments with potentially greater risks and rewards.
But it's up to you to find that information and use it to protect your investment dollars. You will not receive analysis and/or recommendations relating to your financial goals and financial planning advice needs during the initial consultation. It is the financial adviser's duty to determine the clients' goals and risk tolerance and then to recommend appropriate investments. Financial advisers may help their clients invest for both long and short term goals.
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