Other Ways to Research a Financial Professional

For Brokers and Advisers Registered with FINRA

• Go to your state securities regulator to perform additional research on brokers and advisers.
• Check if the SEC has brought formal actions against an individual.
• Check if a financial professional has a criminal record.

For Other Financial Professionals

Commodities and Futures Brokers

• CFTC Smart Check
• National Futures Association BASIC

Insurance Agents

• Contact your state's insurance commission, or call (866) 470-6242

Certified Public Accountants

• CPA License Verification

Mortgage Brokers

• NMLS Consumer Access
• Nationwide Multistate Licensing System & Registry (NMLS)

Additional Organizations and Resources

• Investor.gov
• Consumer Financial Protection Bureau
• Federal Trade Commission
• Municipal Securities Rulemaking Board
• MyMoney.gov
• National Futures Association
• Research Professional Designations