FINRA Investor Education and BrokerCheck® Notification

Our relationship with you is important to us, so we want to make sure you are aware that important investor information regarding your rights and responsibilities is available through the FINRA website at finra.org. From that site, you can also research the professional backgrounds of current and former broker-dealer firms and representatives registered with FINRA to conduct securities business via the FINRA BrokerCheck® tool.

FINRA BrokerCheck is a free resource you can use to conduct such research. It can help you make an informed decision as to the firms and representatives with whom you choose to engage in a business relationship. This information is obtained through form filings that registered representatives, brokerage firms and regulators complete as part of the securities industry registration and licensing process.

 

License to Use Site

Through BrokerCheck you can:

- Search for both representatives and brokerage firms.

- Obtain online delivery of a background report.

- View explanatory information to help you better understand the content provided.

- See links of additional resources and tools.

To get started, go to http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/ and click on the Start Search button. This website also allows you to submit questions you have about BrokerCheck via email.

Alternatively, you can learn more about BrokerCheck by calling FINRA’s BrokerCheck Hotline at (800) 289-9999. The hours of operation are Monday through Friday from 8 a.m. to 8 p.m. Eastern Time.

Thank you.

Ed. Oct/2011

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Advisory services are provided for a fee by Empower Advisory Group, LLC (“EAG”). EAG is a registered investment adviser with the Securities and Exchange Commission (“SEC”) and subsidiary of Empower Annuity Insurance Company of America. Registration does not imply a certain level of skill or training. Investing involves risk. Past performance is not indicative of future returns. You may lose money. All visuals are illustrative only. Actors are not EAG clients.

“EMPOWER” and all associated logos, and product names are trademarks of Empower Annuity Insurance Company of America. This material is for informational purposes only and is not intended to provide investment, legal or tax recommendations or advice. ©  Empower Annuity Insurance Company of America. All rights reserved.