Ask for and receive information from a firm about the work history and background of the person handling your account, as well as information about the firm itself.
Receive complete information about the risks, obligations, and costs of any investment before investing.
Receive recommendations consistent with your financial needs and investment objectives.
Receive a copy of all completed account forms and agreements.
Receive account statements that are accurate and understandable.
Understand the terms and conditions of transactions you undertake.
Access your funds in a timely manner and receive information about any restrictions or limitations on access.
Discuss account problems with the branch manager or compliance department of the firm and receive prompt attention to and fair consideration of your concerns.
Receive complete information about commissions, sales charges, maintenance or service charges, transaction or redemption fees, and penalties.
Contact the New Mexico Securities Division in order to verify the employment and disciplinary history of a securities salesperson and the salesperson`s firm; find out if the investment is permitted to be sold; or file a complaint.
If you believe your personal information has been compromised, and did not receive a letter, please enter your information through the following form. You can also call 1-833-550-4100 to speak to a representative.
The technical storage or access is strictly necessary for the legitimate purpose of enabling the use of a specific service explicitly requested by the subscriber or user, or for the sole purpose of carrying out the transmission of a communication over an electronic communications network.
The technical storage or access is necessary for the legitimate purpose of storing preferences that are not requested by the subscriber or user.
The technical storage or access that is used exclusively for statistical purposes.The technical storage or access that is used exclusively for anonymous statistical purposes. Without a subpoena, voluntary compliance on the part of your Internet Service Provider, or additional records from a third party, information stored or retrieved for this purpose alone cannot usually be used to identify you.
The technical storage or access is required to create user profiles to send advertising, or to track the user on a website or across several websites for similar marketing purposes.