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This Page:
How to Investigate the Seller
Investor Protection Alerts
Investor Guidance Library
Investment Guidance Geared to Seniors
Calendar of Educational Events
Other Learning Opportunities
Interactive Fraud Investigator
Financial Management and Investor Calculation Tools
The goal of the
Division's Investor Education Program is to promote financial
literacy for Vermonters of all ages. This website is designed
to help you avoid investment scams and fraud, choose a qualified
professional to guide you, understand investment options, calculate
your financial needs, and locate additional resources. If you need further
information or would like to host an investor education workshop or
seminar for your civic group or classroom, please contact program
coordinator Bill Carrigan at 802-828-4858 (toll-free: 877-550-3907),
or e-mail:
wcarrigan@bishca.state.vt.us
Before
you
part with your money,
INVESTIGATE the SELLER
Here's how to
do it:
By law, brokers-dealers
and investment advisors must be registered in Vermont to do business
here. Dealing with an unregistered seller or advisor greatly
increases the risk of harm to you as an investor.
How can I check whether a seller or advisor is licensed?
To learn
whether a specific investment professional is licensed in Vermont or has any known history of violations or
complaints, you may:
Use our
Online Registry of Vermont Investment Professions which also
features links for conducting background checks.
Call 802-828-3420,
or toll-free: 1-877-550-3907,
E-MAIL US.
How
do I know what sort of license a seller or advisor is supposed to
hold?
Here is a tool you can use: Before transacting any business, print
out the checklist below and ask your investment professional to fill
it out for you. This will tell you what types of products he or she
is selling and what authority or agency licenses the activity in
Vermont.
GET LICENSE/AUTHORIZATION
CHECKLIST
What
other types of credentials
should you look for?
Choosing the Right Investment
Professional
OTHER USEFUL RESOURCES
Check for
all
Investor Protection Alerts
Have you been contacted by
any of these firms? If so, contact us.
Unregistered
Soliciting Firms
General
Investor Protection Guidance Library
> Investment Guidance
Geared to SENIORS
>
Upcoming Calendar of Educational Events
>
Other Investor Protection
Learning Opportunities
Grants, community presentations and
more....
>
Fraud Scene Investigator
The following program is a tool to aid in the education
of students as well as to enable potential investors in
avoiding investment scams.
FSI stands for "Fraud
Scene Investigator," an interactive investor
education program that teaches and empowers students
how to detect and stop investment fraud using a
resource they’re most familiar with-the Internet.
Click the logo above to enter.
>
Financial Management and Investor Calculation Tools
Mutual fund expense analyzer, mutual
fund breakpoint search tool, more...
>
FINRA Research tools, simulation games, more...
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