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TFS Advisors – Washington State Financial Advisors TFS Advisors – Washington State Financial Advisors
  • HOME
  • OUR CLIENTS
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    • EMBRACING RETIREMENT
    • INVESTMENT MANAGEMENT
    • FAMILIES WITH SPECIAL NEEDS
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Apr 19

Beware of the Wolf in Sheep’s Clothing

 

There are a number of resources available to consumers who want to research their advisor before moving forward with an engagement. 

#1: FINRA Broker Check

This tool is a that allows you to find out:

  1. Whether a firm is registered to sell securities, offer investment advice, or both.
  2. See a broker’s employment history, regulatory actions, and licensing information.
  3. View any complaints or arbitration.

#2: ADV Research

Every advisor should have a Form ADV available for you to view. You can see anything from disciplinary or regulatory disclosures to fees and firm structure on this form. You can also compare their ADV to the services listed in their marketing to see if they align. If it’s hard to find an advisor’s ADV, you can ask TFS Advisors for assistance. 

#3: BBB

Although not every firm has information on the BBB, you can see if there are any complaints registered. BBB isn’t as widely used among advisors, but it’s still a useful tool to use in combination with other resources.

#4: SEC Information

This search feature allows you to look up information about individuals who have been named as defendants in SEC federal court actions or respondents in SEC administrative proceedings.

#5: Existing Client Referrals 

If you can, try to find an existing client of the firm. If you’ve been referred to them by a friend or colleague, their word often will hold more weight than a referral the advisor hand-picks for you to speak with.

#6: Google Search to look for content

#7: Read through disclosures on their ADV 

About The Author

Dale has been in practice since 1983. Over the past three decades, he has enjoyed watching his small firm grow into a family of professionals and clients.

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TFS Advisors is a fee-only advisory firm located in Edmonds, WA.

Our blog contains our thoughts on everything from starting a portfolio to drawing income from it in retirement. Many of our posts focus on answering frequently asked questions we receive from clients.

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While TFS is a fee-only advisory firm, staff members are also able to provide other products such as life insurance to fulfill the needs of the financial plan which may result in a commission. In such cases, we provide full disclosure of any benefit we may receive.

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