/Frequent Questions – Our Practices
Frequent Questions – Our Practices2017-03-18T12:18:12+00:00

Frequent Questions – Our Practices

Want more information? Read our responses to some of the most frequent questions that we are asked by prospective clients.

Why don’t more advisors practice full transparency?
You may not buy what they are selling if you have all of the facts.
Is it legal to withhold information from investors?
Yes, advisors do not have mandatory disclosure requirements.
What type of advisor withholds the most information?
Weak advisors withhold the most information because they have a lot to hide.
Why do salespeople claim to be financial advisors?
It reduces your sales resistance and makes them more competitive against Investment Advisors.
Why should I require documentation?
Documentation protects your financial interests. You have a written record of what was communicated to you.
What happens if I do not have a written record?
You will lose if there is a future dispute. It is your word against the advisor.

Have another question?
Email jlewis@northridgesecurities.com or call (631)546-5403.