Search an Advisor
Look up any financial advisor by name, firm, or CRD number. Check their complaint history, regulatory actions, and disciplinary record before you invest.
Why Check Your Advisor
1 in 13 advisors has a disclosure event
FINRA BrokerCheck data shows that approximately 7.5% of registered representatives have at least one disclosure on their record — including customer complaints, regulatory actions, and criminal events.
Complaints are not always visible
Advisors can petition FINRA to expunge complaints from their records. Our platform tracks both expunged and active complaints so you see the full picture.
Fiduciary violations cost investors billions
In 2024 alone, FINRA ordered over $72 million in restitution to harmed investors. Suitability and fiduciary breaches remain the top complaint categories year after year.
Due diligence protects your portfolio
A 10-minute background check can save you years of financial stress. Checking an advisor’s record before you invest is the single most effective risk management step available to any investor.
What You Can Find on BrokerCheck
FINRA’s BrokerCheck is the official public database for financial advisor records. Here is what a search reveals:
Registration status
Whether the advisor is currently registered, previously registered, or has been barred from the industry.
Customer complaints
Disclosure events including customer disputes, arbitrations, and settlements over $15,000.
Regulatory events
SEC, FINRA, and state regulatory actions, criminal events, and bankruptcies on the advisor’s record.