Knowledge is power. The following checklist is designed as a quick reference to help investors ask the right questions before making an investment. Once your questions have been answered, contact your state securities regulator, or other appropriate state agency, to verify the information.
Remember: The time to ask questions is before you invest your hard-earned money.
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?
