Video: Why an Independent Financial Professional?

Researching Financial Professionals

Infographic: The Importance of IndependenceFINRA is the Financial Industry Regulatory Authority. Among many other resources for investors, it offers:

  • FINRA BrokerCheck, a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers (or call the FINRA BrokerCheck Hotline at 800.289.9999) is a comprehensive site designed by the U.S. Securities Exchange Commission for investors, including:

The Financial Planning Association (FPA) also provides tools for investors, including a financial planner search and resources designed to help individuals understand the importance of financial planning and the value of objective advice from a financial planner.



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