You can search for your stockbroker and brokerage company using a unique CRD (Central Registration Depository) number. The background of an individual broker or brokerage firm is available through FINRA's BrokerCheck report.  BrokerCheck reports are free and professionals or investment companies are not notified of searches performed.  With FINRA BrokerCheck, you can get background and license info about an investment adviser or securities salesman, commonly known as a stockbroker

As an online resource, you can conduct a background check of an investment professional and the company with a CRD/IARD report from the Financial Industry Regulatory Authority's Broker . For investment advisers and their representatives, visit the  Investment Adviser Public Disclosure  (IAPD) database.

NOTE:  When conducting your search, look for public disclosures regarding both the individual and the company as the company may have legal actions taken against it.

Know More About It!

Learn more about how to prevent and settle a dispute with a securities professional  through FINRA's Investor Guide to Securities Industry Disputes, which includes an explanation of arbitration and mediation.

Read more about how to ask and check  on an investment professional and the information you can obtain from a CRD/IARD report.

Know the difference  between a securities salesperson (stockbroker), investment adviser and financial planner? Check out this informative advisory about the different roles of financial services providers and their obligation to you as a client.

Before working with any person or firm to trade in commodity futures, commodity pools, options, forex, or other derivatives, verify that the entity is properly registered with the Commodities Future Trade Commission (CFTC). Visit BASIC (Background Affiliation Status Center), a resource provided by a federal government agency, the Commodities Futures Trading Commission (CFTC).

Fraud Prevention Center

Visit the Investor Fraud Prevention Center to learn the common investment scams and how to reduce the possibility of becoming a victim.

Review the 16 Questions that Can Turn Off a Swindle to protect your money from con artists and unscrupulous investment professionals.

Before making an investment, complete this Investor Checklist to make an informed investment decision.