FINRA maintains a data base containing the employment history, educational history, licensing history, regulatory issues and customer complaints for every licensed broker and brokerage firm in the country. Investors would be wise to review the record of their current or potential new broker. These public records may accessed on the FINRA BrokerCheck website.
FINRA Broker Check
If you have questions about the way your brokerage account has been handled or are in the process of investigating a new broker or brokerage firm you contemplated doing business with, give us a call at (415) 233-7100 and we will be happy to help.