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FINRA's Broker Check:
Broker Check is a free tool from FINRA that can help you research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers. FINRA oversees the people and firms that sell stocks, bonds, mutual funds and other securities. To use the Broker Check, simply type in your current or prospective broker's name to see employment history, certifications, and licenses-as well as regulatory actions, violations or complaints. You also can get information about your broker's firm. To use Broker Check, please click on the following link: http://brokercheck.finra.org/ To learn more about Broker Check, please click on the following link: http://www.finra.org/investors/about-brokercheck