How trustworthy is your Financial Advisor?
CHECK FOR RED FLAGS
See the full picture before you decide
Nearly 100,000 registered financial advisors have customer disputes, bankruptcies, criminal activity, and more on their records. In 2023, about 60 red flags were recorded daily. That's why it's crucial to check if your advisor has any red flags and decide whether you're comfortable with them.
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OTHER BUSINESSES AND POTENTIAL CONFLICTS OF INTEREST
(1) INSURANCE POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2003 ADDRESS: 3800 South Alma School Road, Suite 123, Chandler AZ 85248, United States DESCRIPTION: AZ Insurance agent offering various types of insurance products. (2) SOUTHWESTERN RETIREMENT PLANNING ADVISORS, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2003 ADDRESS: 3800 S. Alma School Road, Suite 123, Chandler AZ 85248, United States DESCRIPTION: 100% OWNER/INVESTMENT ADVISOR REPRESENTATIVE DBA SOUTHWESTERN RETIREMENT PLANNING ADVISORS, INC. PROVIDING FINANCIAL PLANNING, SECURITIES, ADVISORY AND TRUST SERVICES (3) SOUTHWESTERN RETIREMENT PLANNING ADVISORS, INC. TRUST REFERRAL SERVICES POSITION: Officer/Director NATURE: Referral Services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2003 ADDRESS: 3800 S. Alma School Road, Suite 123, Chandler AZ 85248, United States DESCRIPTION: Referral to attorneys to draft Trust documents.
FIRM INFORMATION
Some financial advisors may work at more than one firm. Click view work history below to review their data.
GET PROTECTED WITH ADVISORCHECK
At AdvisorCheck, we want to ensure that the financial advisor you work with, or plan to work with, provides you with peace of mind that your money is safe. That’s why we offer background checks that cover 9 key categories.
