FINRA BrokerCheck

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 adviser 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 background of an advisor they are considering.

*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

Call our founder Randy Garcia at 702-871-8510. He will be happy to sit down with you to discuss how we can help you achieve your goals.

  • ICCNV contact phone number