Answered By: Bobray Bordelon
Last Updated: Jul 03, 2023     Views: 30

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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