All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority) (f/k/a the NASD). FINRA makes available to the public information on all registered financial advisors, including information on a stockbroker’s employment history, whether he has been sued, how he/she did on their licensing exams, and whether the broker has been investigated by any regulatory organization for securities practice violations. This resource is a great tool in evaluating a prospective or current financial advisor and can be accessed at:
http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/
The foregoing information is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.
For more information on The White Law Group, visit http://www.whitesecuritieslaw.com.