Researching Financial Professionals
FINRA 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)
Investor.gov 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.