Check Out Your Investment Professional
Unlicensed, unregistered persons commit much of the investment fraud in the United States.
Always check the background of any financial professional to make sure the person is licensed. Type a financial professional’s name in the box and you will be re-directed to the Investor Adviser Public Disclosure (IAPD) website. There you can find out if your investment professional and his/her firm is licensed with the SEC, with a state(s), and/or with FINRA (the Financial Industry Regulatory Authority). You can also learn about any disciplinary history the investment professional or his/her firm may have. If necessary, you may be automatically directed to BrokerCheck, a website run by FINRA specifically for broker-dealers.
Visit Working with An Investment Professional to learn more about investment advisers and brokers.