Broker Check

INVESTIGATE YOUR BROKER 

Learn About Your Broker or Advisor’s history with BrokerCheck® by FINRA.
As securities fraud attorneys, we understand just how easy it is for an investor – especially one who is young or inexperienced – to sustain serious losses at the hands of a negligent advisor or broker. Time and time again, our clients have expressed that they wish they had known about their brokers’ backgrounds, or the firms’ histories with other clients.

Luckily, there is a free tool you can use to help you learn more about the men and women who handle your money. BrokerCheck® by FINRA is a simple, easy-to-use tool that allows you to type in the name of the investment firm, or the financial advisor or stockbroker, who is handling your account. The website was created by FINRA, (Financial Industry Regulatory Authority) an independent agency in charge of regulating the more than 4,500 brokerage firms, 163,000 branch offices, and 630,000 registered securities agents in the U.S.

How does BrokerCheck® help investors?

You have the right to know who you are dealing with when it comes to your money. Just like you might research local schools before moving to a new town, or research the background of a new doctor, BrokerCheck® by FINRA gives you the same opportunity to find out more about your advisor, stockbroker or brokerage firm. It does this by:

• Telling you whether or not your broker, advisor or firm is registered to sell securities, or offer you advice
• Offering a “snapshot” of the broker’s employment history, including actions or complaints against him/her or the firm, and providing licensing information
• Letting you know just how experienced your broker or advisor is
• Listing how many exams your broker or advisor has passed

If you want to learn more about the person or the firm that handles your investments, we encourage you to access the BrokerCheck® by FINRA website.