How do I check on my investment broker’s history?

Due diligence about your broker & the brokerage firm she works for is an important part of keeping your money safe. The easiest place to start the research is on the FINRA site.

The Financial Industry Regulatory Authority (FINRA) provides a Broker Check service to look up the work and complaint history of regulated firms and brokers.

You’ll be able to check licensing status and other information on the FINRA site.

Doing an online search for pertinent professional information and checking with relevant state licensing boards is also an avenue to pursue.

Additional due diligence such as checking referrals and past performance should be performed before handing over your money to an Investment Advisor.