{"id":23225,"date":"2014-11-06T07:20:00","date_gmt":"2014-11-06T07:20:00","guid":{"rendered":"https:\/\/www.annuityfyi.com\/?page_id=23225"},"modified":"2022-12-16T15:49:52","modified_gmt":"2022-12-16T15:49:52","slug":"nasd-lookup","status":"publish","type":"page","link":"https:\/\/www.annuityfyi.com\/warnings\/nasd-lookup\/","title":{"rendered":"Annuity Warning #2: FINRA Broker Lookup"},"content":{"rendered":"
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Before putting your trust and financial future in the hands of a financial advisor, do a quick, free background check with the FINRA. Here\u2019s how.<\/strong><\/p>\n\n\n\n

The FINRA provides a free online background check where you can look up a broker\u2019s employment history and professional qualifications, including exams that they have passed. But perhaps most importantly, you can see if any individuals have filed complaints against the broker, as well as any disciplinary actions taken against the broker. It takes about two minutes to get a full report. Follow these simple instructions:<\/p>\n\n\n\n

  1. Go to the FINRA\u2019s BrokerCheck by clicking here.<\/a><\/li>
  2. Click the button that says \u201cStart Search.\u201d<\/li>
  3. Check the box to agree to the terms and click on \u201ccontinue\u201d at the right of the screen.<\/li>
  4. Enter the name of the broker or brokerage firm, and click \u201cStart Search.\u201d If you do not know the correct spelling of the name, try the \u201cadvanced search\u201d option at the top right of the current screen.<\/li>
  5. Your search results will appear. Click on the desired Broker\u2019s name to select it.<\/li>
  6. You can view the full report in .pdf format by selecting this option at the top right of the page.<\/li><\/ol>\n\n\n\n

    The absence of any investor complaints or disciplinary actions against a broker is not reason alone to invest with that broker. This is just a simple first step in qualifying a broker before entrusting them with your financial future.<\/p>\n\n\n\n

    For more information about the product mentioned in this article contact us here:<\/strong><\/a><\/a><\/p>\n\n<\/div><\/div>\n\n

    \n
    \n\n
    \n
    \n\n<\/path><\/svg><\/span>Request More Information<\/span><\/a>\n\n<\/div><\/div>\n\n\n\n
    \n\n<\/path><\/svg><\/span>Call 1-866-223-2121<\/span><\/a>\n\n<\/div><\/div>\n<\/div>\n\n<\/div><\/div>\n\n\n
    <\/div>\n\n\n
    \n\n

    <\/path><\/svg><\/span>Related Content<\/span><\/h2>\n\n\n\n
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    Annuity Warnings<\/a><\/h3>\n<\/div>\n\n\n\n
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    Annuity Checklist<\/a><\/h3>\n<\/div>\n<\/div>\n\n<\/div><\/div>\n<\/div><\/div>","protected":false},"excerpt":{"rendered":"

    Before putting your trust and financial future in the hands of a financial advisor, do a quick, free background check with the FINRA. Here\u2019s how. The FINRA provides a free online background check where you can look up a broker\u2019s employment history and professional qualifications, … <\/p>\n

    Read more<\/a><\/p>\n","protected":false},"author":5,"featured_media":24695,"parent":23205,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"categories":[117,847],"tags":[118],"aioseo_notices":[],"_links":{"self":[{"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/pages\/23225"}],"collection":[{"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/users\/5"}],"replies":[{"embeddable":true,"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/comments?post=23225"}],"version-history":[{"count":4,"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/pages\/23225\/revisions"}],"predecessor-version":[{"id":26595,"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/pages\/23225\/revisions\/26595"}],"up":[{"embeddable":true,"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/pages\/23205"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/media\/24695"}],"wp:attachment":[{"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/media?parent=23225"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/categories?post=23225"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.annuityfyi.com\/wp-json\/wp\/v2\/tags?post=23225"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}