Alert

Close

Help those devastated by the Oklahoma tornadoes. Click here to donate today and AARP will match your gift

Highlights

Open

Dunkin' Donuts

Members receive a Donut with purchase of a L or XL beverage

AARP Salutes Our Heroes

Thanks to the veterans who served our country

Tanger Outlets

Access to a free coupon book

Black Community

How to live your best life

Tell Us Your Story

Let us know how the new health care law helps you

Bulletin

Contests and
Sweeps

You Could Win $50,000!

Plus you’ll get free tips and tools to help you find your perfect path to retirement.
See official rules.

See All Sweepstakes »

PROGRAMS

AARP Foundation Tax-Aide

You can get free, face-to-face tax assistance nationwide.

Free Lunch Seminar Monitor Program

Attend investment seminars and tell us what you find.

Money Matters Tip Sheets

Download and print out these PDFs to help with your financial matters.

More Programs »

Money Tools

Chained CPI
Calculator

Social Security Benefits Calculator

Retirement Calculator

See All Money Tools »

AARP
Bookstore

Visit the Money Section

Enjoy titles on retirement, Social Security, and becoming debt-free.

See All Books »

webinars

Learn From the Experts

Sign up now for an upcoming Money webinar or find materials from a past session.

See All Webinars »

Jobs You Might Like

most popular
articles

Viewed

Recommended

Commented

AARP Home » Money » Saving & Investing »How Can I Check My Inv...

Ask the Experts

How Can I Check My Investment Broker's New Company?

Website has data on many firms and brokers

from: AARP Bulletin, July 13, 2011

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.

how to check that an investment broker is legitimate

Check your investment broker online. — Getty Images

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? >>

Related

Topic Alerts

You can get weekly email alerts on the topics below. Just click “Follow.”

Processing

Please wait...

progress bar, please wait

from the
Experts

Choosing the Safest Investment Path

3 ways to help ensure you’ll be able to afford your essential retirement expenses. read

Jane Bryant Quinn | Personal Finance

Jane Bryant Quinn

Tell Us WhatYou Think

Please leave your comment below.

You must be signed in to comment.

Sign In | Register

More comments »

your money

More From the AARP Money Blog »

Discounts & Benefits

From companies that meet the high standards of service and quality set by AARP.

AARP^® Visa Signature ^® Card from Chase - Cash back on every purchase.

AARP^® | Financial Guidance Services provided by Charles Schwab - More details.

Member access to financial and insurance products and services at AARPfinancial.com.

Members receive exclusive member benefits & affect social change. Renew Today

Featured
Groups

Hand holding credit cards

Pay Down Your Debt Challenge

Join others who are starting their debt-free journey. Discuss

savingchalleng

Savings Challenge

Have the gift of thrift? Share your tips.

See All Money Groups »