Due Diligence
As an investment advisor, I am not a member of the SEC.  I am regulated by the SEC.

As an investment advisor, I am not a member of the SEC. I am regulated by the SEC.

membersonly2Do you belong to your regulator? Like you would belong to a country club? From Josh Brown's The Good Leads in the WSJ, a link to a post in the I heart Wall Street blog about the relative merits of FINRA versus the SEC.

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