BrokerCheck - Find a broker, investment or financial advisor
WEBBrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
Verify a CFP® Professional | CFP Board
WEBVERIFY AN INDIVIDUAL'S CFP® CERTIFICATION AND BACKGROUND. More than 100,000 individuals in the United States currently meet CFP Board's initial and ongoing certification requirements for CFP® certification. Use this verification search to identify individuals who currently hold CFP® certification.
Check Out Your Investment Professional - Investor.gov
WEBThere you can find out if your investment professional and his/her firm is licensed with the SEC, with a state(s), and/or with FINRA (the Financial Industry Regulatory Authority). You can also learn about any disciplinary history the …
How to Check Your Financial Advisor's Credentials - The Balance
WEBOct 27, 2021 · Be sure to verify a financial advisor's credentials and complaint history before you hire them. Here's how to do it.
About BrokerCheck - FINRA.org
WEBBrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms.
Ask and Check - FINRA.org
WEBInvestment Adviser: Visit FINRA BrokerCheck or call FINRA at (800) 289-9999. Or, visit the SEC's Investment Adviser Public Disclosure (IAPD) website. Also, contact your state securities regulator. Check SEC Action Lookup tool for formal actions that the SEC has brought against individuals.
How to Use the Investment Professional Search Tool on Investor.gov
WEBAug 6, 2020 · The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to show investors how to use Investor.gov’s free and easy search tool to help you check out brokers and investment advisers. Always research an investment professional—including confirming they are registered and …
How to Check a Financial Advisor's Credentials - SmartAsset
WEBThere are a number of ways you can check the credentials of any financial advisor. Here are the best methods before you settle on a candidate.
What Licenses Do Financial Advisors Need to Have? - Investopedia
WEBJun 26, 2024 · Key Takeaways. Most professional financial advisors will need to obtain regulatory licenses to sell investment products and offer financial advice. Licensing exams are overseen by the Financial...
How to Check a Financial Advisers Credentials | Kiplinger
WEBJun 15, 2018 · How to Check a Financial Adviser's Credentials the Right Way. You're looking up a financial professional, but you can't find them on FINRA or the SEC's website.