The Financial Industry Regulatory Authority (FINRA) is one of the Financial Industry’s most trusted & respected regulators. FINRA acts as a self-regulatory organization which regulates & monitors member brokerage firms & exchange markets. Their goal is to protect Investors & provide confidence to consumers in the marketplace by participating in safeguarding market integrity.
BrokerCheck is a free tool, created by FINRA, that offers Investors the opportunity to learn more about any Financial Professional. More specifically, anyone who provides Stocks, Bonds, Mutual Funds, & other Securities to their clients is required by law to be registered. Registration through the proper regulatory authority allows details about that Financial Professional to be collected & stored in BrokerCheck. This online program provides transparency & reveals information such as:
