The following government agencies and organizations may be helpful to investors seeking information on a variety of topics, including checking up on the legitimacy of investment options.
Brochures designed to help consumers select a planner are also available through the number.
This number has been created so callers can establish whether a financial professional holds a CFP designation and whether the Board of Standards has taken disciplinary action against a particular individual. Callers will also be able to report a problem with their CFP if they feel the practitioner has behaved unethically. The NASD is a self-regulatory organization operating under SEC oversight. Agency will mail broker disciplinary history, if any. Summarizes all rating services for companies doing business in California.