Broker Background Check

Here is a resource you can use to check the employment history of your broker: FINRA.

FINRA (Financial Industry Regulatory Authority) is an independent regulator of securities firms in the US. If you click on the link above, you’ll be directed to the FINRA BrokerCheck where you can search the name of your broker or broker agency for professional background information.

Note that this is just ONE part of the research you should do when deciding whether or not to work with a specific broker or agency. In the case of Kenneth C. Waters (“Pinetown”) his report lists a “Customer Dispute” and “Termination.” That should be enough reason to inquire further.



Leave a comment

No comments yet.

Comments RSS TrackBack Identifier URI

Leave a Reply

Fill in your details below or click an icon to log in: Logo

You are commenting using your account. Log Out /  Change )

Google+ photo

You are commenting using your Google+ account. Log Out /  Change )

Twitter picture

You are commenting using your Twitter account. Log Out /  Change )

Facebook photo

You are commenting using your Facebook account. Log Out /  Change )


Connecting to %s