background check Archives – Wiser Wealth Management

Checking a Broker’s Background Gets a Mandatory Link

FINRA, the regulatory authority for stock brokers and investment advisors, has recently approved a new rule requiring brokers to place a link on their webpage to connect the retail client to the FINRA broker check website. The FINRA broker check site provides professional background checks on advisors, disclosing client complaints and professional disciplinary actions against the advisor. The link, unfortunately, is not required to take the viewer all the way to the broker’s background. Instead the viewer will need to enter the brokers name or […]
read more

Recent Tweets

wwm twitter

Six Best and Worst Home Improvements for Your Money https://t.co/TJ9eINgPT6
- Sunday Mar 17 - 4:00pm

wwm twitter

Don’t Have a Retirement Plan? Here’s How IRAs Can Help https://t.co/3uNGrIijkq
- Friday Mar 15 - 4:00pm

wwm twitter

How to Reassess Your Insurance Needs When You Retire https://t.co/wyb9HCcPs9
- Wednesday Mar 13 - 5:00pm