WHAT IS NEA ETHICS CHECK SYSTEM?
- CRIMINAL BACKGROUND CHECK: No felony convictions or consumer trust-related misdemeanor convictions.
- CIVIL BACKGROUND CHECK: No consumer trust-related violations resulting in judgments, fines or awards.
- PROFESSIONAL LICENSE CHECK: Maintaining recognized state or federal licenses to offer insurance or financial services.
- DEPARTMENT OF INSURANCE CHECK: No consumer trust-related violations resulting in decisions or discipline.
- NATIONAL ASSOCIATION OF SECURITIES DEALERS CHECK: No consumer trust-related violations resulting in any enforcement actions, sanctions, awards or restitution orders.
- SECURITIES AND EXCHANGE COMMISSION CHECK: No consumer trust-related violations resulting in any adverse decisions, enforcement actions or sanctions.
- STATE SECURITIES REGULATORS CHECK: No consumer trust-related violations resulting in any adverse orders, enforcement actions or sanctions.
- PRIVATE AGENCY CHECKS: Use of other agencies, professional organizations and other resources, as needed.
QUALIFICATIONS COMPARISON
QUALIFICATIONS COMPARISON | BBB | NEA |
---|---|---|
Professional code of ethics | ✓ | ✓ |
Professional business questionnaire | ✓ | ✓ |
Complaint resolution | ✓ | ✓ |
Professional license check | ✓ | ✓ |
Criminal background check | ✓ | |
Civil background check | ✓ | |
Department of insurance check | ✓ | |
NASD check | ✓ | |
SEC check | ✓ | |
State securities regulator check | ✓ | |
Private agencies check | ✓ | |
Professional designation check | ✓ | |
Continuing education check | ✓ |