Is Your Account Secure?
| Questions | Mutual Trust | Current Advisor |
|---|---|---|
| Is your financial advisor's firm a member of or registered with Financial Industry Regulatory Authority, (FINRA) |  |
? |
| Is your financial advisor's firm a member of or registered with Municipal Securities Regulatory Board (MSRB) | |
? |
| Is your financial advisor's firm a member of or registered with The Securities Protection Corporation (SIPC) | |
? |
| Does your financial advisor's firm receive surprise audits on an impromptu bases? Usually every two years by a group of no nonsense examiners from FINRA? | |
? |
| Does your financial advisors' firm receive an independent annual audit by a member of the Public Company Accounting Oversight Board (PCAOB)? | |
? |
| Are the branch offices of your financial advisor's firm audited by an independent auditor? | |
? |
| Does financial planner have a disaster recovery plan so your account may be maintained uninterrupted during a disaster? | |
? |
| Does your financial planner maintain a rules and procedures manual that is updated regularly? | |
? |
| Did your financial advisors firm require a government bailout? |  |
? |
| Was your financial advisors firm forced to merge to stay in business? | |
? |