Check the Background of Your Investment Professional
FINRA BrokerCheck®
Check the Background of Your Investment Professional. BrokerCheck features professional background information on approximately 850,000 current and former FINRA-registered brokers and 17,000 current and former FINRA-registered brokerage firms.
FINRA BrokerCheck® is a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers. It should be the first resource investors turn to when choosing whether to do business or continue to do business with a particular broker or brokerage firm.
Through BrokerCheck, investors can:
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Search for both brokers and brokerage firms.
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Obtain online delivery of a background report.
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View explanatory information to help them better understand the content, context and source of the information provided.
The information made available through BrokerCheck is derived from the Central Registration Depository (CRD®), the securities industry online registration and licensing database. Information in CRD is obtained through forms that brokers, brokerage firms and regulators complete as part of the securities industry registration and licensing process.
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Jim Robinson posted on Monday, April 12, 2010
Tags: Planner, CPA, Financial Literacy, Investments, Mutual Funds, Advisor, Agent, CFP
Posted in: Site News
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