How to check your broker's background
The Financial Industry Regulatory Authority (“FINRA”) was formed as a result of the merger of the regulatory divisions of the National Association of Securities Dealers and the New York Stock Exchange. FINRA provides a means of checking the background of both individual brokers and brokerage firms. This background check is helpful, but far from perfect.
You can check the background of your broker or brokerage firm here or by calling FINRA at 1-800/289-9999, Monday through Friday, 8:00 a.m. through 8:00 p.m., Eastern Standard Time.
When using FINRA’s website to perform a background check, be careful to enter the name(s) that you want to check very carefully. If the name does not match FINRA’s records exactly, you will not be able to retrieve any information.
James A. Sigler & Associates
10727 White Oak Ave. • Suite 114 • Granada Hills, California 91344 • (818) 366-0570