Investor Awareness

Invest Wisely with ProEquities

At ProEquities, the safety of your investments is paramount, and the integrity of our financial advisors is essential. We welcome your input and insights in helping us hold our advisors accountable and keeping our processes transparent and safe.

Best Practices for Secure Investing

Paying for Your Securities Services

You should never be asked to write a check directly to your financial advisor, or your financial advisor's 'doing business as' (DBA) name. Always address your payments directly to ProEquities or our approved partners. Click here for a list of approved partners (insurance companies, annuities, mutual funds, etc.). If you’re asked to write a check to anyone not on that approved list, please call ProEquities' Compliance Department at 800-288-3035, option 5.

Payments from your Account

Payments from your account will come only from ProEquities or from approved ProEquities product partners (find an approved list above). If you’re asked to accept payment from an advisor's personal or business account, please call ProEquities' Compliance Department at 800-288-3035, option 5.

Protection From Unauthorized Withdrawls

In an effort to protect client accounts from unauthorized withdrawals, ProEquities will not accept email instructions to withdraw funds from your account. Withdrawal requests require verbal confirmation while some forms of withdrawal requests, such as transfers to third parties, will require written confirmation.

Do Not Borrow from or Lend to your Financial Advisor

Representatives of ProEquities are prohibited from borrowing money from, or loaning money to, clients. If your Representative solicits you for a personal loan, please call ProEquities' Compliance Department at 800-288-3035, option 5.

Limited or "Special" Investment Opportunites

Rarely, if ever, will ProEquities offer investment opportunities that are only available for very short periods of time. If you are offered an opportunity to participate in a special or limited investment that is being organized by your financial advisor, please contact ProEquities' Compliance Department at 800-288-3035, option 5.

Guarantees or Opportunities that are "Too Good to be True"

Very few investments contain guarantees, with some exceptions being bank CDs, certain securities issued by the US Government, and some annuity products (which are backed by the claims paying ability of the issuing insurance company). If you are offered an investment opportunity with a guaranteed rate that is significantly higher than comparable rates offered in the marketplace, be sure to conduct due diligence. To verify investment opportunities, please contact ProEquities' Compliance Department at 800-288-3035, option 5.

Sign Your Own Documents

Do not allow anyone to sign your financial documents unless you have already established power of attorney with that individual. Never ask your financial advisor to sign your name for you.

Check Your Statements

When you receive financial statements in the mail from ProEquities' approved partners, please review them to be sure everything is in order. If you receive a consolidated or summary financial statement from your financial advisor, be sure to compare it to the statement(s) you receive from ProEquities or its product partner to be sure the numbers match.

Protect Your Personal Information

In a time when the risk of internet fraud is heightened, there are several steps you  can take to protect your personal information, including:

  • Do not include personal information in emails or texts;
  • Do not share personal information on checks unless required by law;
  • Do not use easily identifiable information such as birth dates, SSNs, phone numbers or account numbers for PINs;
  • Do not share user names and/or passwords with anyone, including your financial advisor;
  • Set notifications on accounts to be alerted to activity;
  • Use unique passwords;
  • Keep your software up to date and apply patches and service pack updates when they are available;
  • Install a personal firewall to prevent unauthorized access;
  • Encrypt your devices; and
  • Follow safe Wi-Fi practices and avoid public Wi-Fi.


Have Concerns? We Are Here for You.

We take your security seriously, and we pride ourselves on being a reliable and trustworthy company you can rely on. If you have any concerns or questions about questionable activity from your financial advisor or third party product partners, please let us know immediately. Get in touch at 1-800-288-3035 option 5, option 2.

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