FINRA oversees the people and firms that sell stocks, bonds, mutual funds and other securities. Click the link below and you'll be redirected to FINRA's Broker Check website. Simply type in your current or prospective broker’s name to see employment history, certifications, and licenses—as well as regulatory actions, violations or complaints you might want to know about. You also can get information about your broker’s firm.
http://brokercheck.finra.org/Search/Search
