IT’S YOUR MONEY. Now more than ever, you need to know who you can trust with your assets. By working with an approved member of the National Ethics Association, you know your financial-services expert is also ethical. NEA advisors must pass the Ethics Check System, a comprehensive series of background checks.
WHAT IS NEA ETHICS CHECK SYSTEM?
CRIMINAL BACKGROUND CHECK: No felony convictions or consumer trust-related misdemeanor convictions.
CIVIL BACKGROUND CHECK: No consumer trust-related violations resulting in judgments, fines or awards.
PROFESSIONAL LICENSE CHECK: Maintaining recognized state or federal licenses to offer insurance or financial services.
DEPARTMENT OF INSURANCE CHECK: No consumer trust-related violations resulting in decisions or discipline.
NATIONAL ASSOCIATION OF SECURITIES DEALERS CHECK: No consumer trust-related violations resulting in any enforcement actions, sanctions, awards or restitution orders.
SECURITIES AND EXCHANGE COMMISSION CHECK: No consumer trust-related violations resulting in any adverse decisions, enforcement actions or sanctions.
STATE SECURITIES REGULATORS CHECK: No consumer trust-related violations resulting in any adverse orders, enforcement actions or sanctions.
PRIVATE AGENCY CHECKS: Use of other agencies, professional organizations and other resources, as needed.
QUALIFICATIONS COMPARISON
QUALIFICATIONS COMPARISON
BBB
NEA
Professional code of ethics
✓
✓
Professional business questionnaire
✓
✓
Complaint resolution
✓
✓
Professional license check
✓
✓
Criminal background check
✓
Civil background check
✓
Department of insurance check
✓
NASD check
✓
SEC check
✓
State securities regulator check
✓
Private agencies check
✓
Professional designation check
✓
Continuing education check
✓
BBB is a registered trademark of the Council of Better Business Bureaus Inc.
I offer my 45-minute free consultation in my office or over the telephone. Try to get another advisor to give you 45 minutes over the telephone -- it's not going to happen. Give me a call to pick my brain, and we'll see if we can solve your money issues with common sense and years of knowledge. Call me any time: 561-743-0999
