Checking Up On an Advisor

The various organizations and government agencies that regulate financial professionals also offer websites that allow investors to check into advisors they are considering doing business with.  Here are some places to check into the advisors you are meeting with:


Your state securities regulator -


FINRA BrokerCheck tool -


Certified Financial Planning Board of Standards (if the advisor is a CFP) -



The LPL Registered Representatives associated with this site may only discuss and/or transact securities business with residents of the following states : AL, CA, CO, FL, GA, ID, IL, MI, MN, MO, NE, NC, NJ, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, VA, WA


Securities and Advisory Services offered through LPL Financial, a Registered Investment Advisor.



Check the background of investment professionals associated on this site on FINRA's Broker Check.


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