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