Wednesday’s Word: BrokerCheck

By Dylan Donley, Spring 2014 Graduate Research Assistant

BrokerCheck is a free publicly accessible FINRA database that allows investors to research the educational and professional backgrounds of current and former brokers and brokerage firms registered by FINRA. BrokerCheck includes information such as current licensing status and history, employment history, and, if any, reported regulatory, customer dispute, criminal and other relevant matters. It is a useful tool for all potential investors to use before making any investment decisions with a particular broker or brokerage firm.

For more information about BrokerCheck, read more here and here.

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