Julia Kagan is a financial/consumer journalist and former senior editor, personal finance, of Investopedia. Thomas J Catalano is a CFP and Registered Investment Adviser with the state of South ...

BrokerCheck is an online tool provided by the Financial Industry Regulatory Authority (FINRA) that enables investors to research the professional backgrounds of brokers and brokerage firms. The ...

The Financial Industry Regulatory Authority (FINRA) maintains a free and easy(ish) way to access records on people who work as brokers and investment advisers. It's called BrokerCheck. But it's not ...

As part of your due diligence, conduct a thorough background check before choosing a financial advisor to manage your investments, retirement or estate planning. After all, you don't want to hand over ...

A federal judge just shut down an advisor's attempt to erase customer complaints from his record by suing FINRA directly, reinforcing the regulator's grip over BrokerCheck. If you have ever thought ...

For instance, some argue that it would be unfair to disclose these scores on BrokerCheck because brokers took the tests trying to pass rather than to get a high score. But exam scores have always been ...

FINRA has quietly and quickly won approval for a rule that lets brokers keep their private addresses off the online BrokerCheck database with a simple check of a box. Processing Content With the lapse ...

Some red flags are worse than others. This free online tool gives you information you need. It's easy to do your due diligence before hiring a financial adviser: You can use BrokerCheck to see if the ...

BrokerCheck provides detailed backgrounds on financial advisors and their firms. It includes advisors' registration, employment history, and any disciplinary actions. Using BrokerCheck does not alert ...