Start with a legal name, not a brand
Ask who is selling, which firm they represent, what capacity they act in and how they are paid. Request a CRD or SEC number where applicable. A company logo and polished email signature are not identity evidence.
- Search the person and the firm separately.
- Match current employment, locations and registration details.
- Read disclosure explanations rather than relying on a summary badge.
Make an independent callback
Navigate directly to BrokerCheck or IAPD. Use the firm’s independently verified contact route to ask whether the person works there and whether the offer is associated with that firm. Record when you checked and whom you spoke with.
- Compare the actual email domain character by character.
- Do not accept a screenshot of a registration page as the record.
- If the seller claims an exemption, ask a qualified professional or regulator to assess it.
Your research checklist
0 / 5 reviewedUse the original sources.
Check current documents before making a decision. SEC review and a regulatory filing are not endorsements of an investment. This guide provides general education, not advice about your circumstances.