Knowledge is power. The following checklist is designed as a quick reference to help investors ask the right questions before making an investment. Once your questions have been answered, contact the Montana State Auditor's office, to verify the information.
REMEMBER: The time to ask questions is before you invest your hard-earned money.
Seller/Agent Information
Today's Date
Seller/Agent
Company Business Name
Company Business Address
What are you offering?
- How did you get my name?
- Is this investment guaranteed?
- What license(s) do you hold that authorizes you to sell this product or service?
- Is this investment registered?
- Please send me copies of the company's financial statements and a list of customers I can call.
- What are the commissions and fees?
- Send me a prospectus of offering material
- Your telephone number so I can call you
- Will you call my stockbroker/lawyer/banker with the same offer so I can ask for a second opinion?
- how is my principal being used and will I have access to it?
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