HOW TO PROTECT YOURSELF
While the vast majority of investments and the people who pitch them are legitimate, it pays to remember there are a few bad apples out there.
State and federal laws require securities brokers, advisers, firms, and the products they sell to be registered or licensed. Security products can take many forms, including stocks, notes, bonds, some partnership interests, variable annuities, and viatical settlements.
RESOURCES
BEFORE YOU INVEST, PROTECT YOURSELF THROUGH THESE STEPS:
Ask for and receive information from a firm about the work history and background of the person handling your account, as well as information about the firm itself.
You can check the background of an investment professional through FINRA BrokerCheck. BrokerCheck allows you to confirm licensing, registration, and complaint/regulatory history.
You can also get this information by calling the CSI at 800.332.6148 or 406.444.2040.
Most investors want to buy securities products that are registered in some capacity with the SEC, the CSI, or another regulator. Ask the firm if the product is registered and with whom. You can also call our office at 800.332.6148 or 406.444.2040 to verify product registration.
You read the labels on your food, right? Learn what you should look for at Your Investing Rights.
When you are ready to invest, make sure you write your check directly to the Firm, not an individual. This ensures your money will be routed accordingly.
Investors Rights.
Call the CSI at 800.332.6148 or 406.444.2040.