Skip to content

Know someone over 50 making a difference? Nominate them for the AARP Purpose Prize.


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

Website has data on many firms and brokers

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

Getty Images

Check your investment broker online.

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 and click on "FINRA BrokerCheck." Or call 1-800-289-9999.

Also of interest: How safe are your savings? >>

Join the Discussion

0 | Add Yours

Please leave your comment below.

You must be logged in to leave a comment.