All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority).
FINRA BrokerCheck makes available to the public information on all registered financial advisors, including information on a stockbroker’s employment history, whether he has been sued, how he/she did on their licensing exams, and whether the broker has been investigated by any regulatory organization for securities practice violations. This resource is a great tool in evaluating a prospective or current financial advisor and can be accessed at: https://brokercheck.finra.org/.
The foregoing information is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.
For more information on The White Law Group, visit http://whitesecuritieslaw.com.
Tags: financial advisor employment history, FINRA arbitration attorney, FINRA Broker Check, FINRA CRD, FIRNA CRD FIRNA Broker Check, has my broker been sued before, how to research your financial advisor, investment fraud attorney, researching a stockbroker, securities fraud attorney Last modified: December 12, 2022
