Go to your state securities regulator to do additional research on brokers and advisers.
Look up the backgrounds of other financial professionals:
Contact your state's insurance commission or call (866) 470-6242
CPA License Verification
Has SEC brought any formal actions against an individual? Check here.
Does a financial professional have a criminal record? Check here.
Working With Investment Professionals
- Where Do I Start? Steps to Find and Work With an Investment Professional
- What to Expect When You Open a Brokerage Account
- Ask and Check