NASAA’s Senior Investor Resource Center

The North American Securities Administrators Association has the most thorough resource center on the web. In particular is their Investigation Form, if we could get this form out to everyone interested in investing, it could save consumers from a devastating financial blow. The form is laid out to ensure that all precaution’s are taken. Any reputable Investment firm will be happy to provide their potential customers with this information, as it is also in their best interest that investors ask for credentials. Here is a sample form,they also provide a printer friendly copy at their website NASAA.org

Seller/Agent Information
Seller/Agent Name: ______________________________________
Company/Business Name: ______________________________________
Company/Business Address: ______________________________________
Phone Number: ______________________________________
Today’s Date: ______________________________________
1. What products are you offering? (check all that apply)
Annuities Securities
Living Trust Estate Planning
Accounting Other__________________________
 
2. Who regulates or licenses this product or service?
 
3. How does this product meet my investment objectives?
 
4. What are the risks?
 
5. What written information will I receive about this investment before making a decision?
Prospectus Offering Memorandum
Most Recent Annual Report Most Recent Quarterly or Interim Report
Recent News Releases Research Reports
 
6. What license(s) do you hold that authorizes you to sell this product or service?
LICENSE TYPE LICENSE INFORMATION
Insurance License License No: ____________________________
Securities License CRD No: ______________________________
Investment Advisor License No: ____________________________
Corporation SEC
State Bar License State Bar No:___________________________
Accountant License CPA No: ______________________________
Real Estate License DRE License No:________________________
Other Explain: _______________________________
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