Answered By: Barbara Coffey Last Updated: Sep 24, 2019 Views: 18
Answered By: Barbara Coffey
Last Updated: Sep 24, 2019 Views: 18
FINRA registered investment advisors have taken a number of exams to get registered. These registration documents are detailed and include if the advisor had any security related infractions.
Financial advisor information is available through
https://brokercheck.finra.org/
or through
https://www.adviserinfo.sec.gov/IAPD/IAPDSearch.aspx
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