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U.S. Embassy London

Trust, but verify.

Google...dig...ask around. Whatever sources and methods you use to find information on people, you should do the same with an advisor. Trusting someone for financial advice should not be taken lightly. With the number of social media influencers and "advisors" selling products promising overnight riches, you should take a second look before partnering with someone.

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Below are some free tools from the Financial Industry Regulatory Authority (FINRA), the U.S. Securities & Exchange Commission (SEC), and the North American Securities Administrators Association (NASAA).

 

A lot of information about the firm and I can also be found in the ADV Part 2A & Part 2B, found on the Investment Adviser Public Disclosure website.

Image by Alina Grubnyak
Free Tools

Free Tools

Investment Adviser Public Disclosure (IAPD)

Search for information on Registered Investment Adviser firms and individual Investment Adviser Representatives.

NASAA
Investigate Before You Invest

Free tips and resources provided by NASAA.

FINRA
Broker Check

Check to see if someone is registered to sell securities and/or give investment advice.

SEC Action Lookup

Search for individuals who have been the subject of an SEC federal court action or administrative proceeding.

Check Out Your Investment Professional

Free tips and resources provided by the SEC's Investor.Gov website.

NASAA
Find Your State Regulator

Search by state to find the regulatory points of contact.

Disclaimer
ADV part 2A & 2B
Privacy Policy
IAPD- AdviserInfo.SEC.Gov
Layered Financial, LLC, dba “Layered Financial” is a Registered Investment Adviser registered with the Commonwealth of Virginia, the State of Texas, and the State of Connecticut. Registration does not imply a certain level of skill or training. Although we provide our services virtually to individuals throughout the United States, we may provide individualized investment advice or recommendations to clients only in jurisdictions where we are properly registered, notice-filed, or exempt from registration. We will verify that we are authorized in the appropriate jurisdictions before providing services to new clients. Layered Financial is not affiliated with or endorsed by any U.S. Government agency. This website contains links to third-party websites. When you link to any of these third-party websites, you are leaving this website. We make no representation as to the completeness or accuracy of information provided at these websites. We are not liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of third-party technology, websites, information, and programs made available through this website. Please see Disclaimers for additional important information.
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