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Why Your Clients Should Have a Trusted Contact On Their Account!




FINRA and the SEC's Office of Investor Education and Advocacy are issuing this Investor Bulletin to urge clients to consider adding a "trusted contact person" to their brokerage account.   What is a “trusted contact person?”  A "trusted contact person" is a person that a client authorizes their brokerage firm to contact in limited circumstances, such as if their broker has trouble reaching them or has a reasonable belief that their account may be exposed to possible financial exploitation.  A trusted contact person must be age 18 or older.