Brokers/financial advisers – Would you trust your physical health to an unlicensed physician? Then, why trust your financial well-being to an unregistered securities “professional”? Brokers and financial advisers are required to be registered with local and federal regulators.
Investment products – Most investment products must be registered with the federal or state/provincial regulators where they are offered and sold. Always check with your adviser or regulator to make sure your investment funds are being placed in a legitimate investment product.