Broker Check

Making a Background Check Convenient

As staunch advocates of researching all aspects of the investment industry, we believe that it is in your best interest to do due diligence on your current or potential financial advisor.  We encourage you to utilize the provided links to both the FINRA (Financial Industry Regulator Authority) and the SEC (Securities and Exchange Commission) background check websites.

As defined on the FINRA website, FINRA oversees the people and firms that sell stocks, bonds, mutual funds and other securities.  The website provides information about a potential broker, including employment history, certifications, and licenses.  It also provides information about regulatory actions, violations, or complaints.  Please click the link below to access their site.

FINRA Background Check

Similarly, the SEC website states that the SEC Investment Adviser Search site provides information about Investment Adviser Representatives (IARs), and Investment Adviser Firms (RIAs).  This site also provides information about advisers who are registered with the SEC and/or state regulators.  Please click the link below to access their site.

SEC Background Check