- Determine if your financial advisor is registered with the CFTC or the NFA, using the website's BASIC search tool.
- Use the BrokerCheck tool to see if the financial professional is registered with the SEC or FINRA.
- Check to see if the professional has a CFTC disciplinary history.
Saturday, April 11, 2015
The U.S. Commodity Futures Trading Commission (CFTC) has created a website to help people check the registration, license, and disciplinary history of financial professionals. This website is called CFTC Smartcheck and it describes 6 steps to take before making an investment, including: