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1. Check with professional organizations

One of the first things you should do is check with professional and regulatory organizations to see where your broker stands.

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2. Inquire at state offices

Many investment advisers and brokers are also required to register with their state. This can be a great way to see that your broker is properly licensed in your state.

3. Research online reviews

In some cases, it's possible to find information about the broker online through reviews. Just Google the investment adviser's name and see what pops up.

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4. Get personal recommendations

When choosing a financial adviser or broker, you should ask for references. Call the references provided to get an account of how the broker performs. You can even ask your friends and relatives for their personal recommendations, then start your search from there.

5. Keep your investments secured

Once you've found a financial advisor or broker, it's important to keep your finances secured. As cyberattacks and security breaches become more common, you'll want to work with someone who has an encrypted site and is on top of the latest cybersecurity developments.


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Miranda Marquit Freelance Contributor

Miranda Marquit is a journalism-trained freelance writer and professional blogger specializing in personal finance.


The content provided on Moneywise is information to help users become financially literate. It is neither tax nor legal advice, is not intended to be relied upon as a forecast, research or investment advice, and is not a recommendation, offer or solicitation to buy or sell any securities or to adopt any investment strategy. Tax, investment and all other decisions should be made, as appropriate, only with guidance from a qualified professional. We make no representation or warranty of any kind, either express or implied, with respect to the data provided, the timeliness thereof, the results to be obtained by the use thereof or any other matter.