
Need to check out your financial advisor? There are a number of online tools that allow you to look up your broker, advisor, or financial planner and find out information about their background.
This information includes work experience, licensing, professional qualifications or certifications, customer complaints, regulatory or disciplinary actions, etc. Take a look at BrokerCheck by FINRA (Financial Industry Regulatory Authority); the Investment Adviser Public Disclosure website, sponsored by the SEC; or the CFP (Certified Financial Planner) Board’s website to verify a CFP’s certification and background.
FINRA’s BrokerCheck
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The SEC’s Investment Adviser Public Disclosure

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CFP Board
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