Register rules - AvoidTheScam.net 2026

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  1. Click ‘Get Form’ to open it in the editor.
  2. Begin by entering your name in the 'Applicant’s Name' field. Ensure that you print or type clearly for accuracy.
  3. Fill in your home address, including city, state, and ZIP code. This information is crucial for identification purposes.
  4. Provide your home phone number and driver's license number in the designated fields.
  5. Next, input the name and address of the third-party certification entity where you will be testing. Include their contact details as well.
  6. Answer all questions regarding previous convictions and license status honestly by selecting 'Yes' or 'No'. If applicable, provide explanations for any 'Yes' answers in the space provided.
  7. Indicate the classifications you intend to skills test employees or members by checking the appropriate boxes.
  8. Finally, sign and date the application at the bottom. Ensure that an authorized official from the third-party certification entity also signs it.

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To trust a financial advisor with your money: 1. Check credentials and qualifications. 2. Ensure they operate under a fiduciary duty. 3. Seek transparency in fees and communication. 4. Review their track record and reputation. 5. Look for personalized financial planning. 6. Ensure regular monitoring and review. 7.
To Search for a Licensed Investment Advisor: You can use FINRAs BrokerCheck database to research the background and experience of financial brokers, advisers and firms. You also can check if an investment adviser is registered with the SEC.
If you receive an unsolicited email request from FINRA for account information, you can validate the request by contacting FINRA at customersupport@finra.org. FINRA will never ask investors for payment. If you receive communication from a Sthepanie Roberts in FINRAs Office of the Ombuds, this is a fraudulent email.
Misaligned Investments: If your investments dont match your risk tolerance, it indicates a lack of personalized advice and may not comply with the Regulation Best Interest standard of care. They cant explain their fees clearly: Financial advisors receive compensation through fees, sales commissions, or both.
Visit FINRA BrokerCheck or call FINRA at (800) 289-9999. Or, visit the SECs Investment Adviser Public Disclosure (IAPD) website. Also, contact your state securities regulator. Check SEC Action Lookup tool for formal actions that the SEC has brought against individuals.

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