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

By

AARP

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Published 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?

how to check that an investment broker is legitimate

Check your investment broker online.

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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.

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