When you are looking for a stockbroker or investment advisor, don’t be afraid to ask a lot of questions. Ask the broker or advisor about their background, their years of experience, and their certifications and licensing. Ask how they communicate and work with clients. Ask about their fees and how they get paid.
You can also check online securities industry resources that provide information about brokers and advisors, including whether they have faced disciplinary actions in the past.
Visit these sites to learn more about potential brokers:
FINRA Broker Check
SEC Check Your Investment Professional
North American Securities Administrators Association (NASAA) Contact Your Regulator