How do I check whether a financial advisor is legitimate?

Question

For context, I am interviewing financial advisors and want to make sure the person and firm are legitimate before I move money or sign an advisory agreement. For context, the candidates work for different types of firms and use different titles. I keep finding general explanations online, but they seem to assume facts that are different from mine.

Soradin · Accepted Answer

Verify the advisor through official registration and disciplinary resources before transferring money or signing an agreement. Then review the person's services, experience, compensation, conflicts, disciplinary history, and who will actually hold the assets. Form CRS or other required disclosures can help confirm the relationship and make it easier to compare the total cost and potential conflicts.

How do I check whether a financial advisor is legitimate?

Soradin

Need help with your situation?