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This is a question that every potential investor should ask when interviewing a potential advisor or broker. The easiest way to find this information is to visit This website contains an area called broker check. All you need to do is type in the advisor or broker’s name and there is a full report available to the public. This report will contain each individual’s background and work experience within the financial services industry. It will tell you what exams this person has passed and what licenses are held as well as whether that person is acting as a broker or investment advisor. Most importantly, it will tell you whether this person has any disclosure events. Disclosure events will tell you how many complaints this advisor or broker has in his or her career. It will also tell you what the outcome of the said event was in regards to punishment. Over the last 19 years of my career of being an advisor and supervising other advisors or brokers, I have found that most unethical advisors or brokers will have established a pattern of complaints. It’s important for you as an investor to do your due diligence before trusting someone to manage your money. This site is free to use and definitely worth the time and effort to visit prior hiring an advisor or broker.

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