Furthermore, when applying to FINRA (formerly NASD) for registration as a Financial Consultant, one has to fill out a U4 and various other forms, do any of the forms ask about garnishments either directly or indirectly?
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I went to an evening seminar given by a financial advisor that specializes in financial advice for retirement. I am not in the business field, so how do I know this fellow is on the level? I don’t want to give out important financial information to someone I don’t know anything about. His name is Trae Wieniewitz, formerly of Louisiana. He now has a business in Knoxville, TN area called Wieniwitz Financial.
Mr. Wieniewitz is CLU and CLA. The brokerage check site was very helpful also. Thanks.