Regulation of Financial Advisors and Investment Advisers
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In a series of articles, The Skilled Investor provides information on how financial planners and investment advisors are regulated and certified. These articles also provide information to help you find online background information about advisors.
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Brokers and investment advisors are required to register either with the states or with the SEC. This article focuses on how to find online information about these registrations.
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Each state may have one or more government organizations that regulate advisors who offer securities, insurance, and other services. The various states differ in how their regulatory functions are organized. Some have centralized agencies and some have multiple agencies that split regulatory responsibilities.
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This article indicates where to find online information explaining the licenses of investment advisors, brokers, and insurance brokers / agents.
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Concerning the backgrounds of individual securities brokers and advisors who sell investment products, the National Association of Securities Dealers, Inc. (NASD) offers assistance in checking their backgrounds.
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Private organizations grant and oversee the certifications or designations that financial planners and investment advisors hold. For an advisor to hold any of these designations is a matter of choice.
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This article provides information on seven of the more widely held advisor designations granted by private certification organizations. They are Accredited Estate Planner AEP, Certified Financial Planner CFP, Chartered Financial Analyst CFA, Chartered Investment Counselor CIC, Chartered Financial Consultant ChFC, Chartered Life Underwriter CLU, and Personal Financial Specialist PFS
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Commodities and futures brokers and their firms can be checked through the on-line system of the National Futures Association.
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Regarding regulation of financial planners and investment advisors, the picture can sometimes be confusing. While various state and federal government entities can enforce laws, these agencies usually are not be involved in the direct management and regulation of market brokers and other financial or investment advisors.
