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Financial Advisor lookup (1 viewing) (1) Guest
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TOPIC: Financial Advisor lookup
#7273
Sumo (User)
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Financial Advisor lookup 7 Years, 4 Months ago Karma: 5  
I just wanted to share with everyone, that they can lookup by name, a financial advisor, and see if that financial advisor has any claims on his/her record.

Its called the FINRA Broker Check. Its a very useful tool and gives you the opportunities to research the person that will be managing your money!
http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/
 
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#7584
chris (User)
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Re:Financial Advisor lookup 7 Years, 1 Month ago Karma: 1  
I did a Google search and found your thread. I visit the site periodically. Thanks for the it was helpful. My financial advisor has a clean records. I just wanted to confirm and your post helped.
 
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#7611
jbg (User)
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Re:Financial Advisor lookup 7 Years, 1 Month ago Karma: 0  
The FINRA broker lookup is a very useful tool. However, it only provides information on financial advisors licensed to seel securities. FINRA doesnt cover life agents or provide customer reviews. I checked on one broker and he had spent more time selling Harley Davidsons than serving as a financial advisor. Thats like having your car salesman invest your money....scary!
 
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