Compliance Solutions for Investment Advisers

Don’t Confuse Titles With Licenses

The SEC and state securities regulators are warning investors to not rely solely on a financial professional’s title to determine whether the person has the expertise they need.

In a joint Investor Bulletin, released Wednesday, the SEC and the North American Securities Administrators Association warn investors to ensure that they are working with a financial professional who is registered or licensed by federal or state authorities, as it affords investors “certain legal protections.”

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