Certified or Approved

Let’s say you head over to the office of a registered investment broker or representative and you see that a national or state regulator is endorsing them. Good news, right? Nope. Regulators are not allowed to offer approval or certification for any investment pros in their state. It’s like the separation of church and state: regulators are there to enforce financial rules and investment pros are there to make you money. So if someone’s claiming this type of endorsement or certification from regulators, they’ve got some 'splainin' to do.