Re: [TSPStrategy] Staying/Leaving TSP Upon Retirement

I highly recommend Gus' recommendation to always review using FINRA. 

My agency once had a "financial advisor" do a virtual chat early last year. Something about him was off starting the chat. Among the first things he said (and was incorrect about) was that the S fund was modeled after the Russell 2000. I asked him questions about which custodian he worked with. He fumbled that. I did a FINRA check and found disclosures with arrests for drug use. I then checked other of his associates and found one was fired from another group for issues with a client, another one who had no licenses/tests passed. 

I had to inform people at my agency about better vetting through an easy and quick FINRA check.



On 1/31/22 at 11:22 AM, GJAbbott via groups.io wrote:

From: "GJAbbott via groups.io" <GJAbbott=yahoo.com@groups.io>
Date: January 31, 2022
To: TSPStrategy@groups.io
Cc:
Subject: Re: [TSPStrategy] Staying/Leaving TSP Upon Retirement

Great topic.  I'm just glad is hasn't devolved into politics.
FINRA, a private corporation that works under the supervision of the SEC to regulate brokerage firms, provides lots of valuable info related to general investing and rollovers.
https://www.finra.org/sites/default/files/2020-12/thinking-about-rolling-over-funds-from-your-thrift-savings-plan-consider-this.pdf

The tools, including the broker check tool, SEC action look-up, and fund analyzer are quite good.
https://www.finra.org/investors/tools-and-calculators
https://brokercheck.finra.org/
https://tools.finra.org/fund_analyzer/
https://www.sec.gov/litigations/sec-action-look-up

-- Gus

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