BrokerCheck

http://brokercheck.finra.org/Search/Search.aspx

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.

 Through BrokerCheck, investors can:

  • Search for information about brokers and brokerage firms
  • Search for information about investment adviser firms and representatives
  • Obtain online background reports, if available
  • Link to additional resources such as educational tools for investors

The information about investment adviser firms and representatives made available through BrokerCheck is derived from the Securities and Exchange Commission’s Investment Adviser Public Disclosure (IAPD) database. IAPD features professional background information on approximately 441,000 current and former investment adviser representatives and 45,700 current and former investment adviser firms. More detailed information about these firms and representatives can be obtained via the provided hyperlinks to the IAPD website.

11/14/2013