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BrokerCheck is a free tool to research the background and
experience of financial brokers, advisers and firms.
experience of financial brokers, advisers and firms.
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BrokerCheck helps you make informed choices about brokers and
brokerage firms-and provides easy access to investment adviser
information.
BrokerCheck tells you instantly whether a person or firm is
registered, as required by law, to sell securities (stocks,
bonds, mutual funds and more), offer investment advice or both.
BrokerCheck gives you a snapshot of a broker's employment
history, regulatory actions, and investment-related licensing
information, arbitrations and complaints.
Who is BrokerCheck? BrokerCheck is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. We are authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.
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