We think its just plain smart to find out as much as you can about your Broker. Luckily, regulators think so too and provides you a pretty good online tool to use for doing so. It’s called BrokerCheck.
BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers, as well as investment adviser firms and representatives. It should be the first resource investors turn to when choosing whether to do business or continue to do business with a particular firm or individual.
If you have any questions about your search results, Click here for some helpful background on the BrokerCheck information returned and how to improve your results.