Q. My investment broker now works for a company I'm not familiar with. How can I check on the firm to make sure it's legitimate?
See also: Finding the right financial adviser.
A. The Financial Industry Regulatory Authority website has a database that contains information about many brokers and the firms they work for. You can find out if brokers are licensed in your state, if they've had run-ins with regulators or received serious complaints from investors. Go to finra.org/investors and click on "FINRA BrokerCheck." Or call 1-800-289-9999.
Also of interest: How safe are your savings? >>