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.

 

 
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