FINRA BrokerCheck & Compliance Check

Don’t entrust your financial future to an investment advisor without verifying their qualifications and Regulatory record!

FINRA BrokerCheck is a free tool from the Financial Industry Regulator Authority. This resource can help you research the professional backgrounds of brokers and brokerage firms, as well as investment management firms and advisers. A FINRA BrokerCheck report gives you a snapshot of an advisor’s employment history, qualifications, regulatory actions, and investment-related licensing information, arbitrations, and complaints. This is a valuable tool for investors to check the regulatory compliance record of any advisor they are considering.

At the Investment Counsel Company all our advisors are registered with FINRA, and we are proud of our record of impeccable regulatory compliance.

If an advisor is “Not FINRA registered,” he or she has let their securities license lapse, which means they should not be providing investment advice for compensation as a Registered Investment Advisor or Investment Advisor Representative.

*FINRA is an independent, nongovernmental organization that writes and enforces the rules governing registered brokers and broker-dealer firms in the United States. Its stated mission is “to safeguard the investing public against fraud and bad practices.”

Let's talk

If you have $5,000,000 or more in investable assets, our fiduciary investment advisors will be  happy to meet with you to discuss how we can help you develop an investment strategy to achieve your goals. Call 702-871-8510 to get started.

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