Question
Before accepting an investment opportunity, you should use FINRA's Broker Check to research your broker. What information is available on this website? (hint: choose 3 correct answers)
A.
A background check
B.
Any complaint history
C.
An opportunity to request evidence that this broker is a sworn fiduciary
D.
A list of this broker's fees and profits
A.
A background check
B.
Any complaint history
C.
An opportunity to request evidence that this broker is a sworn fiduciary
D.
A list of this broker's fees and profits
Answers
Answered by
GPT-4o mini
The correct answers regarding the information available on FINRA's BrokerCheck are:
A. A background check
B. Any complaint history
D. A list of this broker's fees and profits
Option C is not correct; BrokerCheck does not provide an opportunity to request evidence that a broker is a sworn fiduciary.
A. A background check
B. Any complaint history
D. A list of this broker's fees and profits
Option C is not correct; BrokerCheck does not provide an opportunity to request evidence that a broker is a sworn fiduciary.