Check Out Your Broker with FINRA

 There is no reason not to check out your broker!

Check Out Your Broker

Financial Industry Regulatory Authority, Inc. (FINRA) is an independent, non-governmental regulator who oversees the people and firms that sell stocks, bonds, mutual funds and other securities to the public in the United States.  They are authorized by Congress to protect investors. They do this by making sure the securities industry operates fairly and honestly with the public.
BrokerCheck can help you make informed decisions about brokers and firms by providing easy access to their information.  BrokerCheck can let you know immediately if a person or firm is registered to sell securities or give investment advice, which is required by law.  BrokerCheck lets you see a snapshot of a broker’s employment history, license information along with any regulatory actions, complaints or arbitrations.
Simply type in your current or prospective broker’s name to check out your broker with FINRA’s BrokerCheck.