How To Lodge A Complaint Against Your Investment Advisor

How I lodge a complaint against my investment advisor?

If you ever feel that things are not going right with your investment advisor and you want to lodge a complain, the first thing you should do is tell them. Talk to your investment advisor and have that conversation. If you feel that your answer, the response or that dialogue just isn't appropriate for you, your first step should really be to write a letter or an email to that professional or to that individual's boss or manager if they are part of a brokerage firm. Then start your complaint process there and see where that leads you. If you feel that you are still not getting the appropriate response then you can go next to their regulatory body, the NASD or the SEC or if it is an insurance person, the state insurance regulator. Then start down that process of really filing a complaint which you might have of your investment advisor.