How do I check out my broker?
An easy way to check out an investment professional is to use the free search tool available on Investor.gov, which will direct you to the SEC's Investment Adviser Public Disclosure website (IAPD website). You can also visit the IAPD website directly, FINRA's BrokerCheck program, and/or your state securities regulator.
How do you check if a broker is regulated?
How do I know if my Forex Broker is regulated? Check the license and information through the official brokers' website first, and then verify a license through the official regulatory website, since unscrupulous brokers may easily fake information and assure of its license while its not true.
What is BrokerCheck used for?
BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.
How do I verify an investment broker?
Type a financial professional's name in the box and you will be re-directed to the Investor Adviser Public Disclosure (IAPD) website. There 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).