Work with a Financial Professional who is focused on YOUR needs!
Planning for retirement can be a complicated task, so it’s crucial that you enlist the help of a professional you can trust. With all of the various licenses, registrations and alphabet soup of credentials in the financial industry, it can be difficult to determine which professional will best fit your needs. And with a vast number of laws and regulations a financial professional is required to follow, how can you make sure the professional you trust with your hard-earned savings understands these rules and abides by them?
The Compliance Standards Program (CSP) was developed with this goal in mind. CSP Members have made a commitment to adhere to best practices designed to help you – the consumer. CSP Members have demonstrated their dedication to the needs of consumers by implementing vital best practices into their business. These practices include using only clear and accurate advertising materials, making only appropriate recommendations, managing cybersecurity and other data security risks, and participating in on-going compliance training as regulations and consumer requirements change over time.
While there is no sure-fire method of determining how trustworthy your financial professional is, there are questions you can ask to help you evaluate their commitment to doing business the right way.
We recommend you start by asking “Are you a member of the Compliance Standards Program?”
If they say “Yes”, you have added assurance that their business is focused on you and your needs!