Broker Check

BrokerCheck by FINRA

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:

Our Process

Employment History

Our History

Federal & State Examinations

Our Values

Years of Experience

Our Resources

Professional Licenses & Certifications

Before handing over your hard-earned money, we advise you conduct thorough research & analysis on your Financial Professional. Please feel free to learn more about us by visiting BrokerCheck by FINRA.