Investigate Before You Invest

Knowledge is power. The following checklist is designed as a quick reference to help investors ask the right questions before making an investment. Contact your state securities regulator or other appropriate state agency to verify the information. Remember: The time to ask questions is before you invest your hard-earned money.

Seller/Agent Name: _____________________________________________________
Company/Business Name: ________________________________________________
Company/Business Address: ______________________________________________
Phone Number: ________________________________________________________
Today’s Date: __________________________________________________________

1. What products are you offering? (check all that apply)

_ Annuities
_ Securities
_ Living Trust
_ Estate Planning
_ Accounting
_ Other ___________________________________________________________

2. Who regulates or licenses this product or service? __________________________
3. How does this product meet my investment objectives? ________________________
4. What are the risks? ____________________________________________________
5. What written information will I receive about this investment before making a decision?

_ Prospectus
_ Offering Memorandum
_ Most Recent Annual Report
_ Quarterly or Interim Report
_ Recent News Releases
_ Research Reports

6. What license(s) do you hold that authorizes you to sell this product or service?

Insurance License No: __________________________________________________
Securities License CRD No: _____________________________________________
Investment Adviser License No: _________________________________________
State ____ SEC _____
State Bar License State Bar No: ________________________________________
Accountant License CPA No: __________________________________________
Real Estate License DRE License No: ____________________________________
Other Explain: _____________________________________________________

Source: North America Securities Administrators Association

[See Before Investing, Ask Questions]