FINRA offers an online tool to help investors check the background of brokers and brokerage firms called BrokerCheck. You can obtain information about a broker’s employment history, licensing status, criminal events, regulatory actions, investor complaints, and pending investigations.  You may also access this information by contacting FINRA at 800-289-9999.

FINRA, the Financial Industry Regulatory Authority, is the largest non-governmental regulator for all securities firms doing business with the U.S. public.