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Several years ago I found a web site that listed fiduciary money managers nationwide and would list ones in your area and if they had been any complaints or they had been in trouble. I think this was a non profit website maybe run by the organisation who licenses them. I am not talking about a website like smart asset that these businesses pay to be listed and then you get bombarded by continuous e-mails afterwards. Any suggestions appreciated.
Could it be along the lines of FINRA’s broker check? Or is it something else you are looking for?
https://brokercheck.finra.org/
Thanks Olin, Maybe I can find the company as listed under the person’s name. I just have to go through all 39 pages to see if one seems familiar. The prior website I found listed them by business names and was a lot shorter list.
Olin, I think this is what I am looking for. Problem is the business isn’t quite what I thought. I am realizing I need to do more research to see what licenses and certifications they hold. I am having trouble doing that on line. Here is the link I found.
https://www.napfa.org/
The sec.gov has some good information individuals and companies. I’ve used this link many times. https://www.sec.gov/enforcement-litigation/litigation-releases
Olin, I found two minor claims against the individual. In 2002 someone filed a claim for 5000.00 due to age and being put in an inappropriate investment it was denied. I don’t know that many people who didn’t lose money between 2000 and 2002. the other one, the client claimed forgery. He had a form allowing him to withdraw his fee from her account. She forgot to fill in the date so he did. Wasn’t forgery, just a judgement error on his part and he settled for the amount he took for his fee of about 2,000.00 moral dot your eyes and cross your T’s and fully review the paperwork and don’t assume you really know the client.
Which site gave you the information you were looking for?
Olin,
This one.
https://adviserinfo.sec.gov/firm/summary/112978
Thank you for the link; I wasn’t aware of this one.